Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Maynard Heaton is a financial advisor with over 16 years of experience in the industry. Alan is currently registered with Capital Client Group, Inc. in California and has held previous positions with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Olde Discount Corporation. Alan holds Series 6, 7, 10, 24, 31, 63, and 65 licenses and is also a Chartered Financial Analyst. Alan's experience includes recommending affiliate as investment advisor of SMA assets.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
06/04/2018 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
CA
04/02/2007 - 08/07/2008
MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)
CA
01/05/2007 - 04/02/2007
MORGAN STANLEY DW INC. (SAN DIEGO CA)
NY
02/24/2004 - 06/05/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
05/27/1997 - 07/08/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
MI
06/08/1994 - 05/21/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
BC
Issued 03/01/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/26/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/2024
Series 24 - General Securities Principal Examination
BC
Issued 01/07/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/21/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/21/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/18/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 06/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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