Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Naef has been in the financial services industry since 1993. Alice is currently registered with LPL Financial LLC. Alice is licensed to provide investment advice in South Carolina and Wisconsin. Alice also provides investment advice services for clients in Wisconsin as a registered investment advisor. Alice has been registered with LPL Financial LLC since 2017. Prior to joining LPL Financial LLC, Alice held positions with several firms, including Investment Centers of America, Inc., INVEST FINANCIAL CORPORATION, NATIONAL PLANNING CORPORATION, SII INVESTMENTS, INC., and AAL CAPITAL MANAGEMENT CORPORATION. Alice has passed multiple securities examinations including the Series 6, Series 7, Series 3, Series 63, Series 66, and Series 24 exams. Alice is a licensed securities professional and is committed to providing quality investment advice to her clients.
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.
Consulting and other non-discretionary advisory services
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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2
SC
01/01/2025 - Present
LPL Financial LLC (FORT MILL SC)
WI
10/11/2000 - 10/10/2017
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
WI
03/15/2016 - 10/09/2017
INVEST FINANCIAL CORPORATION (APPLETON WI)
CA
02/25/2016 - 10/09/2017
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
WI
02/03/2000 - 10/09/2017
SII INVESTMENTS, INC. (APPLETON WI)
MN
11/03/1992 - 07/15/1999
AAL CAPITAL MANAGEMENT CORPORATION (MINNEAPOLIS MN)
BOTH
Issued 03/31/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2002
Series 3 - National Commodity Futures Examination
BC
Issued 03/21/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/02/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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