Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alison? Claim Your ProfileAlison Lee Flood is a financial professional with over 16 years of experience in the industry. Alison is currently registered with Goldman Sachs & Co. LLC as a General Securities Principal and has a broad range of experience in various financial areas. Prior to joining Goldman Sachs & Co. LLC, Alison held positions at J.P. MORGAN SECURITIES LLC and J.P. MORGAN SECURITIES INC. Alison holds several licenses and certifications, including Series 3, 7, 9, 10, 24, 63, 79, and SIE.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
NY
07/20/2022 - Present
Goldman Sachs & Co. LLC (NEW YORK NY)
NY
10/01/2008 - 06/06/2022
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
09/20/2006 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 10/02/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/18/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2015
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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