Alan PittsCRD Number: 5322066
Current Firm: Resources Investment Advisors
Alan Pitts (CRD# 5322066) is an Investment Advisor Representative working at Resources Investment Advisors in Golden Valley, MN and has over 3 years of experience in the finance industry.
Phillip James Financial Company
Allodium Investment Consultants, LLC
Epiq Partners, LLC
|Resources Investment Advisors, Inc.||Leawood, KS||Dec 2014 - Current||1|
|Lpl Financial LLC||Golden Valley, MN||Feb 2014 - Current||2|
|Morgan Stanley||Minneapolis, MN||Mar 2013 - Dec 2013||< 1|
|Lawrence Holdings, Inc.||Minneapolis, MN||Aug 2011 - Mar 2013||1|
|Zynex Medical||Minneapolis, MN||Jan 2010 - Aug 2011||1|
|Unemployed||Minneapolis, MN||Oct 2009 - Dec 2009||< 1|
|Feltl And Company||Minneapolis, MN||Jul 2009 - Oct 2009||< 1|
|Zoogoz, Inc.||Minneapolis, MN||Aug 2008 - Jul 2009||< 1|
|Merrill Lynch||Minneapolis, MN||Apr 2007 - Aug 2008||1|
|The Joey Company||Brooklyn, NY||Aug 2006 - Apr 2007||< 1|
|Alan Pitts Productions||Minneapolis, MN||Jan 2006 - Aug 2006||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||May 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management4,124MILLIONS
Total Number of Accounts3,881ACCOUNTS
Average Account Value$1,062,669
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AR, AZ, CA, CO, FL, GA, IL, KS, LA, MI, MN, MO, ND, NE, OH, OK, TN, TX, VA, WA
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