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Alan Scott Cobb

Cetera Advisors LLC

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About Alan Scott Cobb

Alan Cobb is a financial advisor currently registered with Cetera Advisors LLC. Alan has been in the financial services industry since May 13, 2000. Alan holds the Series 6, Series 22, Series 63, and SIE licenses. Alan is registered in Michigan and Ohio. Previously, Alan was registered with QA3 FINANCIAL CORP., SII INVESTMENTS, INC., and CAPITAL BROKERAGE CORPORATION.

Firm Information

Alan Cobb is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Alan Cobb’s Registration & Firm History

MI

02/06/2013 - Present

Cetera Advisors LLC (CALEDONIA MI)

MI

07/18/2005 - 02/11/2011

QA3 FINANCIAL CORP. (DEWITT MI)

WI

05/20/2002 - 07/19/2005

SII INVESTMENTS, INC. (APPLETON WI)

VA

05/20/1998 - 05/29/2002

CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)

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Licenses & Designations

BC

Issued 05/21/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/2008

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 05/19/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Alan Scott Cobb. Review regulatory record here.
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