Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alicia? Claim Your ProfileAlicia Whearty is a financial advisor with over 30 years of experience in the industry. Currently, Alicia is a registered representative of Wells Fargo Clearing Services, LLC and has been with them since 2009. Prior to that, Alicia has held positions at various firms including RGR Financial Corp., JW Charles Securities, Inc., Smith Barney Inc. and Lehman Brothers Inc. Alicia has a broad range of experience in providing financial advice and investment services to individuals, families, and businesses. She is also a Registered Investment Advisor (RIA) and has a deep understanding of the investment industry. Alicia Whearty is committed to providing her clients with personalized and comprehensive financial advice that helps them achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
CT
04/27/2009 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
NJ
08/09/1996 - 02/29/2008
RGR FINANCIAL CORP. (FREEHOLD NJ)
FL
06/14/1996 - 08/13/1996
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
NY
07/31/1993 - 07/02/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
10/11/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CT
01/25/1989 - 10/23/1992
ADVEST, INC. (HARTFORD CT)
IA
Issued 11/21/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/06/1997
Series 4 - Registered Options Principal Examination
BC
Issued 12/19/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/18/1996
Series 24 - General Securities Principal Examination
BC
Issued 03/09/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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