Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Slaughter is a financial professional with over 20 years of experience in the industry. Alan is currently registered with Moors & Cabot, Inc. and is located in the Phoenix, Arizona office. Previously, Alan was associated with M1 FINANCE LLC in Chicago, Illinois, and CHARLES SCHWAB & CO., INC. in Phoenix, Arizona. Alan holds a Series 7, Series 24, Series 63, and SIE licenses, and specializes in financial planning, portfolio management, and pension consulting. Alan primarily works with high-net-worth individuals, insurance companies, investment companies, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
AZ
07/08/2024 - Present
Moors & Cabot, Inc. (PHOENIX AZ)
IL
02/22/2024 - 05/02/2024
M1 FINANCE LLC (CHICAGO IL)
AZ
01/24/2017 - 01/09/2024
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
NJ
12/17/2014 - 10/28/2016
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
OH
04/09/2013 - 11/10/2014
KEYBANC CAPITAL MARKETS INC. (CLEVELAND OH)
NJ
03/22/2011 - 04/05/2013
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
OH
06/22/2006 - 03/23/2011
KEY INVESTMENT SERVICES LLC (BROOKLYN OH)
NE
04/26/2004 - 06/28/2006
INVEST FINANCIAL CORPORATION (OMAHA NE)
BC
Issued 07/20/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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