Alan R. Boone
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 Ray Boone was a registered financial advisor .
Alan is a previously registered financial advisor and started their career in finance in 1987. Alan had worked at 7 firms and has passed the Series 65, Series 63, Series 3 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
October 20, 2004 - December 17, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 17, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 2003 - October 20, 2004
QUICK & REILLY, INC.
September 19, 2003 - October 20, 2004
QUICK & REILLY, INC.
October 1, 2000 - April 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - April 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1995 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 28, 1992 - April 25, 1995
CITIGROUP GLOBAL MARKETS INC.
November 15, 1989 - March 4, 1992
MORGAN KEEGAN & COMPANY, LLC
March 25, 1987 - December 12, 1989
LEHMAN BROTHERS 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
