Alan HenryCRD Number: 1199374
Current Firm: Raymond James & Associates, Inc.
Alan Henry (CRD# 1199374) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Waukesha, WI and has over 34 years of experience in the finance industry.
Financial Service Group Inc.
Fortress Planning Group
Cedarpoint Investment Advisors, Inc.
|Raymond James And Associates||Brookfield, WI||Nov 2015 - Current||2|
|Wells Fargo Advisors LLC||Waukesha, WI||Nov 2009 - Nov 2015||6|
|Ubs Financial Services Inc.||Brookfield, WI||Aug 2003 - Nov 2009||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1983|
|S66||NASAA Uniform Combined State Law Examination||Sep 2007|
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:
- Customer Dispute
Total Assets Under Management91,401MILLIONS
Total Number of Accounts317,837ACCOUNTS
Average Account Value$287,573
- 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)
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