Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan John Henry is a financial advisor with Raymond James & Associates, Inc. Alan has over 38 years of experience in the financial services industry and is registered in 24 states. Alan has held prior positions with several firms including Wells Fargo Advisors LLC, UBS Financial Services, Inc., RBC Dain Rauscher Inc., Dain Rauscher Incorporated, Kemper Securities Group, Inc., Blunt Ellis & Loewei Incorporated, Robert W. Baird & Co. Incorporated, and Piper, Jaffray & Hopwood Incorporated.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
1
2
WI
11/23/2015 - Present
Raymond James & Associates, Inc. (Waukesha WI)
WI
11/12/2009 - 11/09/2015
WELLS FARGO ADVISORS, LLC (WAUKESHA WI)
WI
08/29/2003 - 12/02/2009
UBS FINANCIAL SERVICES INC. (BROOKFIELD WI)
NY
03/02/1998 - 09/05/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
09/05/1991 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MO
09/04/1990 - 09/10/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
11/18/1988 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
NA
10/13/1986 - 11/23/1988
ROBERT W. BAIRD & CO. INCORPORATED
NA
10/20/1983 - 10/21/1986
PIPER, JAFFRAY & HOPWOOD INCORPORATED
BOTH
Issued 09/28/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/24/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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