Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Sharpe is a financial advisor with over 30 years of experience in the industry. Alan is currently registered with Capitol Securities Management, Inc. Previously, Alan was associated with a number of financial institutions, including Arthur W. Wood Company, Inc., Moors & Cabot, Inc., RBC Capital Markets, LLC, and Wells Fargo Advisors, LLC. Alan specializes in financial planning, portfolio management, and providing educational seminars for individuals, businesses, and other investment advisors.
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.
A percentage of the total value of assets under management is charged.
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2
MA
10/26/2023 - Present
Capitol Securities Management, Inc. (Woburn MA)
MA
12/06/2019 - 10/31/2023
WOOD (ARTHUR W.) COMPANY, INC. (BOSTON MA)
MA
03/30/2016 - 12/18/2019
MOORS & CABOT, INC. (BOSTON MA)
MA
05/22/2009 - 03/23/2016
RBC CAPITAL MARKETS, LLC (BURLINGTON MA)
MA
07/01/2003 - 05/26/2009
WELLS FARGO ADVISORS, LLC (ANDOVER MA)
NY
05/14/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/03/1995 - 05/15/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/30/1990 - 11/14/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/15/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/1990
Series 7 - General Securities Representative Examination
BC
Issued 11/15/1989
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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