Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Mauricio Soto is a registered representative with Charles Schwab & CO., Inc. located in Westlake, Texas. Alan has been in the securities industry since March 6, 2023. He holds Series 7, SIE, 63 and 66 licenses. Prior to joining Charles Schwab, Alan worked at TD Ameritrade, INC. He specializes in advising high-net-worth individuals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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TX
09/03/2024 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
03/06/2023 - 09/01/2023
TD AMERITRADE, INC. (Westlake TX)
BOTH
Issued 09/03/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/26/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2023
Series 7TO - General Securities Representative Examination
BC
Issued 11/29/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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