Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Tores is a financial advisor with UBS Financial Services Inc. Alan has been in the industry since 1995. Alan is a CERTIFIED FINANCIAL PLANNER™ professional and holds the following licenses: Series 31, Series 7, Series 63, and SIE. Alan has been registered with UBS Financial Services Inc. since July 2011. Alan previously worked at WELLS FARGO ADVISORS, LLC, PRUDENTIAL SECURITIES INCORPORATED, MORGAN STANLEY DW INC., SPECTRUM SECURITIES, INC., GLOBAL STRATEGIES GROUP, INC., and FINANCIAL WEST GROUP.
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.
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.
See schedule d - miscellaneous
1
2
CA
07/24/2018 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
07/01/2003 - 08/05/2011
WELLS FARGO ADVISORS, LLC (WESTLAKE VILLAGE CA)
NY
08/01/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/25/1996 - 08/09/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
12/06/1995 - 02/02/1996
SPECTRUM SECURITIES, INC. (AROURA HILLS CA)
NY
07/21/1995 - 08/24/1995
GLOBAL STRATEGIES GROUP, INC. (NEW YORK NY)
NV
05/22/1995 - 07/17/1995
FINANCIAL WEST GROUP (RENO NV)
BC
Issued 12/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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