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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 Parker Hawkins is a financial advisor registered with Wells Fargo Clearing Services, LLC in Salt Lake City, Utah. Alan has been in the industry since June 1998. Alan is also registered in Colorado, Texas, and Utah. Alan is also registered with FINRA, the Financial Industry Regulatory Authority, and is a member of the Securities Investor Protection Corporation (SIPC). Alan specializes in retirement planning, insurance, mutual funds, and stocks. Alan has a history of working at other firms including CSB Investments Co., Invest Financial Corporation, and Prudential Securities 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.
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
UT
11/30/2010 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
CO
02/22/2001 - 08/14/2001
CSB INVESTMENTS CO. (DENVER CO)
WI
09/14/1999 - 10/12/2000
INVEST FINANCIAL CORPORATION (APPLETON WI)
NY
01/30/1998 - 09/14/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 11/29/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/27/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2009
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 01/29/1998
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
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