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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 Lubner is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 30 years of experience in the industry. Alan Lubner holds the Series 7, Series 31, and Series 63 licenses, as well as the SIE and Series 65 certifications. Alan Lubner provides financial services to high-net-worth individuals, corporations, and charitable organizations. Alan Lubner is registered to offer investment advisory services in Alaska, Arizona, California, Colorado, Florida, Georgia, Kansas, Massachusetts, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, and Washington. Alan Lubner has also been an advisor at Morgan Stanley, Citigroup Global Markets Inc., and Prudential Securities 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.
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
WA
10/07/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
06/01/2009 - 10/21/2016
MORGAN STANLEY (BELLEVUE WA)
WA
04/22/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BELLEVUE WA)
NY
06/13/1990 - 04/26/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 5/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/8/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/11/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 5/19/1990
Series 7 - General Securities 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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