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AL

Alan L. Lindsay

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CRD#: 1610706
AL

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 Lindsay was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1987. Alan had worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 3, 2015 - August 2, 2018

SYNERGY FINANCIAL LLC

RIA
CRD#: 281639
HOUSTON, TX
Past

August 12, 2011 - January 13, 2012

SCF INVESTMENT ADVISORS, INC.

RIA
CRD#: 123608
FRESNO, CA
Past

August 4, 2011 - January 13, 2012

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

June 1, 2009 - August 16, 2011

MORGAN STANLEY

RIA
CRD#: 149777
HOUSTON, TX
Past

June 1, 2009 - August 16, 2011

MORGAN STANLEY

BD
CRD#: 149777
HOUSTON, TX
Past

January 30, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
HOUSTON, TX
Past

January 30, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HOUSTON, TX
Past

November 8, 2002 - February 19, 2009

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
HOUSTON, TX
Past

November 8, 2002 - February 19, 2009

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
HOUSTON, TX
Past

January 28, 1995 - November 18, 2002

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

January 28, 1995 - November 18, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 7, 1990 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

January 21, 1987 - November 27, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
IAR
Series 65
Date: 10/24/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 4/22/2011
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination

Current Firm

SF
SYNERGY FINANCIAL LLC
SYNERGY FINANCIAL LLC

CRD#: 281639 / SEC#:

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Contact information

Main Address
3700 Buffalo Speedway Ste 950, Houston, TX 77098
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

SYNERGY FINANCIAL LLC

CRD#: 281639

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