Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Robert Riffle is a registered representative with Oppenheimer & Co. Inc., a firm with over $1 billion - $10 billion in assets under management. Alan has over 30 years of experience in the financial industry, and specializes in providing investment advice to individuals, businesses, and pooled investment vehicles. Alan has a strong background in providing financial planning, portfolio management, and pension consulting services. Alan is also registered as an Investment Advisor Representative in Texas and has passed the Series 3, 7, 31, and 65 exams.
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.
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.
1
2
TX
04/22/2009 - Present
Oppenheimer & Co. Inc. (HOUSTON TX)
TX
01/26/2007 - 03/16/2009
STANFORD GROUP COMPANY (HOUSTON TX)
TX
09/01/1999 - 01/29/2007
MORGAN STANLEY DW INC. (HOUSTON TX)
NY
03/08/1995 - 09/15/1999
CIBC WORLD MARKETS (NEW YORK NY)
NA
04/04/1995 - 04/18/1995
OPPENHEIMER & CO., INC.
NY
10/28/1993 - 03/16/1995
COMMONWEALTH ASSOCIATES (NEW YORK NY)
NY
08/24/1989 - 11/01/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/11/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1989
Series 3 - National Commodity Futures Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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