Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Marshall is a financial advisor with Raymond James & Associates, Inc. based in Dallas, Texas. Alan has over 14 years of experience in the financial services industry. Alan is registered to provide investment advice in 17 states, and holds licenses including Series 63, 66, 7, and 31. In addition to providing investment advice, Alan also specializes in financial planning, 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.
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
TX
08/30/2019 - Present
Raymond James & Associates, Inc. (DALLAS TX)
TX
10/13/2010 - 09/03/2019
WELLS FARGO CLEARING SERVICES, LLC (DALLAS TX)
TX
08/29/2007 - 12/13/2007
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
08/15/2005 - 07/09/2007
WACHOVIA SECURITIES, LLC (DALLAS TX)
BOTH
Issued 11/15/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/11/2010
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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