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AM

Alan R. Mcclymonds

Some features on this profile are disabled
CRD#: 1209137
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 Robert Mcclymonds, who also goes by Alan R Mcclymonds, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan R Mcclymonds

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.

Blog Corner

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®
None

Experience

Past

February 9, 2011 - December 31, 2015

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

April 4, 2006 - June 11, 2010

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 15, 2005 - September 22, 2005

RONIN CAPITAL, LLC

BD
CRD#: 118428
CHICAGO, IL
Past

September 30, 2003 - August 11, 2004

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 11, 2001 - September 30, 2003

HOWARD WEIL INCORPORATED

BD
CRD#: 30958
NEW ORLEANS, LA
Past

September 8, 1999 - August 11, 2001

ARROYO SECO, INC.

BD
CRD#: 39387
PASADENA, CA
Past

March 21, 1996 - August 31, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

January 24, 1994 - March 15, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 18, 1993 - April 18, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 15, 1991 - August 14, 1992

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

December 21, 1983 - June 18, 1991

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
RR
Series 63
Date: 3/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/1995
General Securities Principal Examination

Current Firm

WS
WHITAKER SECURITIES LLC
QUEST BROKERS | WHITAKER SECURITIES LLC

CRD#: 121465 / SEC#: , 8-65419

BD
Terminated by SEC on 09/16/2023
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICOSIA, ROSALIE MARGARETCHIEF COMPLIANCE OFFICER, CRCP4239124

Disclosures

Regulatory Event6

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.

Company Information

WHITAKER SECURITIES LLC

CRD#: 121465

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