AM
Alan R. Marcum
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CRD#: 1044638
AM
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 Roy Marcum was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 17, 2006 - June 6, 2011
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SACRAMENTO, CA
Past
April 21, 2003 - July 17, 2006
INVESTORS RESOURCES GROUP, INC.
BD
CRD#: 45752
SACRAMENTO, CA
Past
July 1, 2002 - April 23, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
Past
January 19, 2000 - July 10, 2002
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, NY
Past
July 1, 1998 - January 31, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
March 4, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
June 11, 1992 - March 6, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 1, 1984 - June 23, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 24, 1982 - September 28, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FA
FIRST ALLIED SECURITIES, INC.
4.0 INVESTMENT MANAGEMENT | GUIDANT PLANNING, INC | GREENVILLE FINANCIAL GROUP, LLC | GREENSIDE FINANCIAL, LTD | GREENBOOK FINANCIAL SERVICES | GORDON H. DICKINSON & CO. | GOLDEN HILLS CAPITAL, LLC | GLOBAL WEALTH PARTNERS | GLOBAL INVESTMENT ADVISORS, INC. | GILBERT CAPITAL MANAGEMENT | GENWEALTH | GENERATIONAL WEALTH MANAGEMENT | GEMINI WEALTH ADVISORS | GARMAN INVESTMENT GROUP | GALLAGHER FINANCIAL GROUP, LLC | FULL CIRCLE INVESTMENT ADVISORS | FREEDOM WEALTH MANAGEMENT | FRED LA MARCA - INSURANCE AGENT | FRCT, LLC | FRCT WEALTH MANAGEMENT GROUP | FRANK JOINER, INC. | FOUR COLUMN INVESTMENT SERVICES | FORTRESS FINANCIAL STRATEGIES LLC | FIRST FINANCIAL ADVISORY SERVICES | FIRST CAPITAL MANAGEMENT & INSURANCE, LLC | FIRST ALLIED WEALTH MANAGEMENT, INC. | FIRST ALLIED WEALTH MANAGEMENT PRIVATE CLIENT SERVICES | FIRST ALLIED WEALTH MANAGEMENT CONSULTING GROUP | FIRST ALLIED WEALTH MANAGEMENT | FIRST ALLIED SECURITIES, INC. | FIRST ALLIED FINANCIAL OF FLORIDA | FIRST ALLIED | FINANCIAL FOUNDATIONS, INC. | FINANCIAL DIRECTIONS GROUP, INC. | FINANCIAL ADVISORY CORPORATION | FINANCIAL ADVISORS SECURITY CORP. | FINANCIAL ADVISORS SECURITIES CORP. | FINANCIAL ADVISORS PLUS, LLC | FFG FISCH FINANCIAL GROUP | FARLEY PLANNING GROUP, INC. | FAMILY WEALTH MANAGEMENT | EVYAVAN ADVISORY SERVICES, LLC | EVERETT FINANCIAL GROUP | ETHOS WEALTH MANAGEMENT | ESSEX CAPITAL ADVISORS | EMPOWERMENT FINANCIAL GROUP, LLC | ELLISON WEALTH MANAGEMENT | ELLISON NOONAN WEALTH MANAGEMENT | EG WILLIAMS FINANCIAL ADVISORS | ED MARTELL & ASSOCIATES | EAGLE WEALTH MANAGEMENT | EAGLE MANAGEMENT, INC. | DUVAL CAPITAL | DUDURICH INVESTMENT ASSOCIATES | DPM CORP | DNH CAPITAL | DIAMOND WEALTH MANAGEMENT | DH CAPITAL MANAGEMENT | DESIMONE FINANCIAL & INSURANCE SERVICES | DEMOAKS PLANNING SERVICES, LTD | DELTA VENTURES FINANCIAL COUNSEL | DEAMOAKS PLANNING SERVICES | DAVE GOTTSCHALK FINANCIAL | DANIEL E. SUTTON, CFP | D R SUMMIT WEALTH MANAGEMENT | CROWN INVESTMENT SERVICES | CROSSWATER | CRESCENT CAPITAL MANAGEMENT, LLC | CREATIVE WEALTH STRATEGIES | CREATIVE CAPITAL WEALTH MANAGEMENT GROUP | CRANE INVESTMENTS | COUYOUMJIAN ASSET MANAGEMENT | CONSOLIDATED WEALTH PARTNERS, LLC | COMPASS FINANCIAL SERVICES, INC. | COE FINANCIAL GROUP, INC. | CLOVERLEAF FINANCIAL GROUP | CHIP COUGHLIN & CO. | CHESTNUT INVESTMENT GROUP | CHARLES R DUNN INVESTMENT ADVISORS | CENTURY FINANCIAL ADVISORS | CAUSEY WEALTH MANAGEMENT | CATAPULT CAPITAL MANAGEMENT | CASSEDY FINANCIAL GROUP, INC. | CARLTON MACLACHLAN, LLC | CARD INVESTMENT GROUP | CAPKO CAPITAL MANAGEMENT, LLC | CAPITOL DEVELOPMENT GROUP | CAPITAL ROCK ADVISORS | CAPITAL INVESTMENT MANAGEMENT | CAPITAL ASSET MONITORING LLC | CAPITAL ASSET MANAGEMENT | CAP PARTNERS | CAMBRIDGE FINANCIAL GROUP LLC | CALIFORNIA RETIREMENT ADVISORS | CADUCEUS CONSULTING | BYERLY WEALTH MANAGEMENT | BULL CHIP | BUCCI WEALTH MANAGEMENT, LLC | BROOKS INVESTMENT GROUP | BROOKS FINANCIAL SERVICES | BIERMAIER FINANCIAL MANAGEMENT | BIERMAIER & MCMAHON FINANCIAL MANAGEMENT LLC | BIAGINI GRASSI ADVISORY GROUP, LLC | BH WEALTH MANAGEMENT | BERKELEY WEALTH PROFESSIONALS, PLLC | BAUGHMAN WEALTH ADVISORS, INC | BAUGHMAN FINANCIAL GROUP | BAUER FINANCIAL SERVICES | BAKER & COMPANY ADVISORY GROUP, INC. | BAHARY FINANCIAL GROUP | BAAM SECURITIES AND WEALTH MANAGEMENT, LLC | AW WEALTH ADVISORY | AVEY & GRAVES WEALTH MANAGEMENT | ASSET PLANNING STRATEGIES | ARMSTRONG & ASSOCIATES | ARCHE WEALTH MANAGEMENT | APPLE INVESTMENT MANAGEMENT, LLC | APEX WEALTH MANAGEMENT | ANIMAS CAPITAL MANAGEMENT | ANALYTIC WEALTH STRATEGIES | AMWELL RIDGE WEALTH MANAGEMENT | ALPHA INVESTMENT SERVICES | ALLIANCE WEALTH MANAGEMENT | ALEXANDER FINANCIAL SERVICES, INC. | ALCOSTA CAPITAL MANAGEMENT | AIM GROUP | AFG WEALTH MANAGEMENT | AEQUTIS PRIVATE WEALTH MANAGEMENT | ADVANCED WEALTH STRATEGIES, LLC | ADVANCED WEALTH PLANNING | ADVANCED FINANCIAL SERVICES | ADVANCED EQUITIES WEALTH MANAGEMENT PRIVATE CLIENT SERVICES | ADVANCED CORPORATE PLANNING | ADAMS FINANCIAL SERVICES, PA | ADAMS FINANCIAL SERVICES, P.A. | A.D.N. WEALTH MANAGEMENT GROUP | A. PORTER ROCKWELL, INC. | A-1 FINANCIAL | 401(K) ALLIANCE...
CRD#: 32444 / SEC#: 801-47805, 8-46167
BD
Terminated by SEC on 11/28/2022
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Contact information
Main Address
655 W. Broadway 12th Floor, San Diego, CA 92101-8114
Mailing Address
Phone number
Established
New York since 03/30/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ALLIED HOLDINGS, INC. | SOLE SHAREHOLDER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BOWMAN, TIMOTHY JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2247374 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| CHAFFIN, GARY LYNN | TAX OFFICER | 6819431 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| GILL, GEORGE ANDREW | VICE PRESIDENT | 4498537 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HARRISON, BRETT LAMAR | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4032238 |
| IYENGAR, JANANI RAVI | TREASURER | 6780478 |
| KESTERSON, BARBARA JO | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEE, WINNIE | ASSISTANT SECRETARY | 7381661 |
| LISCHIN, MALISSA BLAKE | VICE PRESIDENT | 2505496 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA RIE | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| ROGERS, JAN WILLIAM | AML COMPLIANCE OFFICER | 2414139 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| TAYLOR, THOMAS BYRON | MANAGER | 2193426 |
| UMANSKY, DANIEL ADAM | VICE PRESIDENT | 1806953 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 16 |
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.
