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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 Hess is a financial advisor at Morgan Stanley. Alan has been in the industry since 1981 and has worked at various firms, including Legg Mason Wood Walker, Incorporated, Citigroup Global Markets Inc. Alan is registered in 26 states and is a Registered Representative with FINRA and a licensed Investment Adviser Representative. Alan holds Series 63, 65, 7, and SIE licenses.
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
MD
02/19/2020 - Present
Morgan Stanley (Lutherville MD)
MD
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PIKESVILLE MD)
MD
11/03/1987 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NA
10/30/1987 - 11/04/1987
LEGG MASON MASTEN INC.
NA
07/18/1981 - 10/30/1987
LEGG MASON WOOD WALKER, INCORPORATED
NA
07/20/1981 - 02/02/1982
SHEARSON LOEB RHOADES INC.
IA
Issued 12/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1981
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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