Alan Carey, financial advisor Waterville ME
96 score

Alan Carey

CRD Number: 1291234
Current Firm: Invest Financial Corporation

Alan Carey (CRD# 1291234) is an Investment Advisor Representative working at Invest Financial Corporation in Waterville, ME and has over 30 years of experience in the finance industry. Alan Carey has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Invest Financial Corporation Waterville, ME Jan 2014 - Current 2
Investors Capital Corporation Lynnfield, MA Aug 2006 - Jan 2014 7
Raymond James Financial Services Waterville, ME Jan 2000 - Aug 2006 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1986
S65 NASAA Investment Advisors Law Examination Dec 2006
Contact Info for Alan D. Carey
Phone Number: (813) 880-5300
Registered State(s):
  • FL
  • ME
  • PA
  • TX
  • VA
By the Numbers
  • Total Assets Under Management
    4,432
    MILLIONS
  • Total Number of Accounts
    31,513
    ACCOUNTS
  • Average Account Value
    $140,649
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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