Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Sokol is a financial advisor at Oppenheimer & Co. Inc. in DANBURY, Connecticut. Alan has over 30 years of experience in the financial services industry, having held previous positions at A. G. Edwards & Sons, Inc., Smith Barney, Harris Upham & Co., Incorporated, and Drexel Burnham Lambert Incorporated. Alan holds multiple licenses and certifications, including the Series 3, 7, 63, and 65 exams. Alan specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting services. Alan has been registered with the Securities and Exchange Commission (SEC) since 1988.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
11/16/2005 - Present
Oppenheimer & Co. Inc. (DANBURY CT)
MO
06/25/1990 - 08/10/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
05/22/1989 - 06/29/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
08/17/1988 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 11/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
BC
Issued 05/16/1988
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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