Alan L. Maxwell
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 Lee Maxwell JR, who also goes by Alan Lee Maxwell, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 12 firms and has passed the Series 63, SIE, Series 53, Series 27 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
August 28, 2015 - August 7, 2017
WELLS FARGO PRIME SERVICES, LLC
August 7, 2013 - August 26, 2015
WELLS FARGO PRIME SERVICES, LLC
May 29, 2003 - August 7, 2017
WELLS FARGO SECURITIES, LLC
May 23, 2000 - June 13, 2000
ABN AMRO SECURITIES LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 17, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
March 5, 1991 - April 4, 1996
CANTOR FITZGERALD, G.P.
May 12, 1989 - December 7, 1993
CANTOR FITZGERALD SHOKEN KAISHA LIMITED
July 27, 1987 - September 23, 1988
CANTOR FITZGERALD MBS BROKERS, INC.
July 25, 1987 - April 4, 1996
CANTOR FITZGERALD SECURITIES
September 25, 1986 - January 25, 1991
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
June 26, 1984 - April 4, 1996
MINT BROKERS
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
WELLS FARGO PRIME SERVICES, LLC
CRD#: 133068 / SEC#: , 8-66677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
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.
