Alan F. Hazard
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 Forrest Hazard, who also goes by Alan F Hazard, 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 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2019 - November 1, 2021
CORECAP INVESTMENTS, LLC
June 21, 2017 - November 7, 2019
AMERITAS INVESTMENT COMPANY, LLC
July 16, 2013 - June 21, 2017
CCF INVESTMENTS, INC.
January 9, 2006 - December 31, 2011
CCF INVESTMENTS, INC.
May 21, 2003 - December 31, 2005
THE LEADERS GROUP, INC.
February 9, 2002 - December 31, 2002
PARKLAND SECURITIES, LLC
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
February 5, 1994 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
September 4, 1992 - October 7, 1993
PACIFIC CLIFFS CAPITAL, INC.
October 30, 1987 - July 7, 1992
PFS INVESTMENTS 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
Series 6TO
Date: 12/12/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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