Alan R. Graas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Richard Graas was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 4 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2005 - January 27, 2014
SIERRA ASSET MANAGEMENT
December 20, 1984 - October 30, 1990
NEW ENGLAND SECURITIES
October 7, 1982 - January 4, 1985
MML INVESTORS SERVICES, LLC
March 30, 1982 - January 4, 1985
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
SIERRA ASSET MANAGEMENT
CRD#: 108685 / SEC#: 801-56723
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SIERRA ASSET MANAGEMENT
CRD#: 108685 / SEC#: 801-56723
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,650 |
| AUM (Assets Under Management) | $ 385,441,124 |
Red Flags
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