Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Wozniak is a financial advisor with Wells Fargo Clearing Services, LLC, a firm with over $10 billion in assets under management. Alan is registered with FINRA and has been in the industry since 1986. He holds several licenses, including Series 7, 8, 63 and 65. Alan has a proven track record of providing financial advice to individuals, families, and businesses. He is committed to helping clients reach their financial goals.
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.
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.
Investment consulting services to institutional clients
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
CA
11/03/2016 - Present
Wells Fargo Clearing Services, LLC (ROLLING HILLS ESTATES CA)
CA
12/06/1991 - 01/20/2009
UBS FINANCIAL SERVICES INC. (PASADENA CA)
NY
11/18/1986 - 12/10/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 04/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/1987
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Alan Wozniak is the right advisor for you? Invested Better is here to help.
