Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan McGuire Dawson is an active registered representative with Morgan Stanley. Alan has been in the industry since December 1996. Alan has 24 state licenses including Alaska, Arizona, Arkansas, California, Colorado, District of Columbia, Florida, Georgia, Illinois, Indiana, Louisiana, Maryland, Michigan, Missouri, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, South Carolina, Tennessee, Texas, and West Virginia. Alan also holds several licenses and certifications including Series 63, 65, 66, 7, 9, 10, and SIE. Alan's previous experience includes positions with UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
TX
10/22/2010 - Present
Morgan Stanley (Sugar Land TX)
NJ
03/24/2003 - 09/10/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/28/1996 - 03/17/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/23/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/15/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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