Unclaimed
Alan Mann is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Alan has been in the financial industry for over 34 years and has a strong track record of success. Alan is committed to providing his clients with personalized financial advice and guidance. He is experienced in working with a wide range of clients, including individuals, families, businesses, and institutions. Alan's services include portfolio management, financial planning, and investment advice. Alan is a Series 7, 9, 10, 63 and 65 licensed advisor, and holds the SIE license as well. Alan has been registered with Merrill Lynch since 2012. Prior to that, Alan was registered with Morgan Stanley and its predecessor firms, from 1988. Alan is also a registered Investment Advisor in Nevada and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NV
02/13/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HENDERSON NV)
NV
06/01/2009 - 02/13/2012
MORGAN STANLEY SMITH BARNEY (HENDERSON NV)
NV
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HENDERSON NV)
NV
05/25/1988 - 04/02/2007
MORGAN STANLEY DW INC. (HENDERSON NV)
IA
Issued 08/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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