Alan B. Vennes
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 Belmont Vennes was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1985. Alan had worked at 8 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
September 9, 1992 - January 11, 1993
MASTERS FINANCIAL GROUP, INC.
July 10, 1992 - August 31, 1992
RHOADS FINANCIAL GROUP, INC.
June 5, 1992 - July 1, 1992
INSTITUTIONAL EQUITY CORPORATION
June 11, 1991 - July 23, 1991
POWELL & SATTERFIELD, INC.
February 23, 1989 - January 16, 1991
ALLISON, ROSENBLUM & HANNAHS, INC.
January 4, 1988 - March 8, 1989
FIRST STATE INVESTMENTS, INC.
February 17, 1987 - December 31, 1987
FIRST INVESTMENT SECURITIES, INC.
August 27, 1985 - October 28, 1985
EASTERN CAPITAL SECURITIES, INC.
July 24, 1985 - August 29, 1985
FIRST INVESTMENT SECURITIES, INC.
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
MASTERS FINANCIAL GROUP, INC.
CRD#: 25747 / SEC#: , 8-42553
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
