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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 Testa is a financial advisor with Commonwealth Financial Network. Alan has been in the financial industry since August 2006. Alan is registered with the state of Rhode Island as a Registered Representative and Investment Advisor. He also holds FINRA Series 7, 31 and 66 licenses as well as the SIE. Alan has previously worked with UBS Financial Services Inc. and Morgan Stanley & Co., Incorporated. He has worked with various types of clients including high net worth individuals, corporations or other businesses, individuals other than high net worth, and pension and profit-sharing plans.
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.
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RI
07/09/2009 - Present
Commonwealth Financial Network (SMITHFIELD RI)
RI
08/03/2007 - 05/11/2009
UBS FINANCIAL SERVICES INC. (PROVIDENCE RI)
RI
04/02/2007 - 08/08/2007
MORGAN STANLEY & CO., INCORPORATED (PROVIDENCE RI)
RI
07/28/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PROVIDENCE RI)
BOTH
Issued 08/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 07/27/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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