Thelma Alane
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.
Thelma Alane, who also goes by Thelma Alane Myers, Thelma Alane Powell, Thelma Powell, was a registered financial professional .
Thelma is a previously registered financial professional and started their career in finance in 1982. Thelma had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2016 - February 1, 2018
MISSION TRAILS FINANCIAL
September 11, 2014 - January 26, 2017
ASHTON STEWART & CO., INC.
February 21, 2014 - December 31, 2016
ASHTON STEWART ADVISORY SERVICES
August 19, 1993 - February 16, 1996
CHARLES SCHWAB & CO., INC.
June 7, 1993 - September 13, 1994
ALAMO CAPITAL
August 24, 1982 - January 11, 1988
J.P. MORGAN SECURITIES LLC
July 1, 1982 - August 27, 1982
FIDELITY DISTRIBUTORS CORPORATION
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
Series 2
Date: 3/14/1996
Non-Member General Securities ExaminationCurrent Firm
MISSION TRAILS FINANCIAL
CRD#: 173836 / SEC#: 801-123021
Contact information
Regulatory assets under management
| Total Number of Accounts | 985 |
| AUM (Assets Under Management) | $ 167,975,982 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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