Alan Lee Shorr
Professional Summary
Alan Lee Shorr is a registered financial advisor currently at INVESTMENT ADVISOR ASSOCIATES, INC. located in Boston, Massachusetts. Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Alan has worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 4, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
INVESTMENT ADVISOR ASSOCIATES, INC.
Contact Information
Main Address
Bakersfield, CAPhone Number
(818) 501-3171# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
70AUM (Assets Under Management)
$37,140,014Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(2/20/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Nov 1982About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1982About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Alan Lee Shorr's CRS (Customer Relationship Summary).
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