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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Lekawski is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Mira Loma, California. Alan has been in the financial industry since 2004 and has worked for several firms, including BBVA Securities Inc. and Guaranty Brokerage Services, Inc. Alan is registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative and has passed the Series 7, Series 6, Series 63, and Series 65 exams. Alan offers various advisory services including portfolio management for businesses and individuals, pension consulting, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/15/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIRA LOMA CA)
CA
05/16/2013 - 01/30/2015
BBVA SECURITIES INC. (RIVERSIDE CA)
CA
02/09/2010 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (RIVERSIDE CA)
CA
01/05/2006 - 12/23/2009
GUARANTY BROKERAGE SERVICES, INC. (RIVERSIDE CA)
MI
01/29/2003 - 12/31/2003
SAMMONS SECURITIES COMPANY, LLC (ANN ARBOR MI)
CA
07/02/2002 - 01/07/2003
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
IA
Issued 03/14/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2008
Series 7 - General Securities Representative Examination
BC
Issued 07/01/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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