Alan L. Shorr

INVESTMENT ADVISOR ASSOCIATES

Boston, MA 02110

Some features on this profile are disabled

CRD#: 1040305

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

(1) INVESTMENT ADVISOR ASSOCIATES, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 100 START DATE: 08/13/1984 ADDRESS: 2900 Loch Fern Court, Bakersfield CA 93306, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES (2) 253 ORGANIC LLC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2018 ADDRESS: 99 summer street, boston MA 02110, United States DESCRIPTION: 20% BUSINESS OWNER OF 253 ORGANIC LLC (3) ALMAR PRODUCSTIONS INC POSITION: CEO NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 2 START DATE: 03/10/2020 ADDRESS: 304 MARSH ST, BELMONT MA 02478-1734, United States DESCRIPTION: Produce live theater around the world

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Lee Shorr's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 2018 - Present

INVESTMENT ADVISOR ASSOCIATES, INC.

Office #1: 99 Summer Street 13th Floor, Boston, MA, 02110

RIA

CRD#: 157219

Boston, MA

Past

April 4, 2012 - December 31, 2017

INVESTMENT ADVISOR ASSOCIATES, INC.

RIA

CRD#: 157219

TARZANA, CA

Past

February 8, 2010 - November 20, 2012

QUANTITATIVE STRATEGIES, INC.

RIA

CRD#: 117908

CALABASAS, CA

Past

January 26, 2010 - October 18, 2022

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Bakersfield, CA

Past

January 26, 2010 - October 18, 2022

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Bakersfield, CA

Past

August 5, 2005 - January 25, 2010

AFA ADVISOR SERVICES LLC

RIA

CRD#: 129104

CALABASAS, CA

Past

September 3, 2003 - January 25, 2010

AFA FINANCIAL GROUP, LLC

CRD#: 127648

BAKERSFIELD, CA

Past

November 30, 1998 - November 21, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

ENCINO, CA

Past

November 16, 1998 - November 21, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 28, 1995 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

October 14, 1985 - March 31, 1995

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

August 26, 1983 - October 15, 1985

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

October 28, 1982 - September 6, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(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

State Security Law Exam

Series 63

Date: 2/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/20/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/24/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/15/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 51

Date: 3/11/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/1986

General Securities Principal Examination

Current Firm

INVESTMENT ADVISOR ASSOCIATES, INC.

CRD#: 157219 / SEC#:

California

Registered Investment Advisory firm - (2/20/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Bakersfield, CA

Mailing Address

Phone number

(818) 501-3171

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 50,146,779

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan L. Shorr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Lee Shorr's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT ADVISOR ASSOCIATES, INC.

QUANTITATIVE STRATEGIES, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

AFA ADVISOR SERVICES LLC

AFA FINANCIAL GROUP, LLC

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/14/1986

SIE

Date: 10/1/2018

Series 31

Date: 7/20/2005

Series 7

Date: 8/20/1983

Series 22

Date: 11/24/1982

Series 6

Date: 10/27/1982

Series 4

Date: 6/15/2004

Series 51

Date: 3/11/2003

Series 24

Date: 9/29/1986

Current Firm

INVESTMENT ADVISOR ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT ADVISOR ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors