Alice Rae Farmer
Professional Summary
Alice Rae Farmer, who also goes by Alice Rae Carden, Alice Rai Carden, was a registered financial advisor. Alice was a previously registered financial professional and started their career in finance 1988 - 1989. Alice had worked at 1 firm and has passed the Series 6 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alice Rae Carden, Alice Rai Carden
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
38 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
SHEARWATER SECURITIES CORPORATION
Contact Information
Established
California since 11/10/1982Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAPMAN, RICHARD ALSTON | PRESIDENT / TREASURER / SECRETARY/DIRECTOR | 1032928 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1989About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Dec 1988About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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