Alan J. Price
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 Joseph Price was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2011 - January 25, 2013
LOYAL3 SECURITIES INC.
October 25, 1989 - January 26, 2009
CHARLES SCHWAB & CO., INC.
November 21, 1984 - June 30, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
LOYAL3 SECURITIES INC.
CRD#: 6380 / SEC#: , 8-17277
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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