Alan A. Pardee
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 Alexander Pardee was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1989. Alan had worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2010 - August 17, 2020
MERCURY CAPITAL ADVISORS, LLC
October 8, 2009 - November 15, 2010
NIGHTHAWK PARTNERS INC.
July 28, 1995 - October 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 1992 - March 21, 1995
MORGAN STANLEY & CO. LLC
January 24, 1989 - September 5, 1990
PERSHING LLC
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 7TO
Date: 2/12/2024
General Securities Representative ExaminationSeries 79TO
Date: 2/12/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 2/12/2024
Operations Professional ExaminationCurrent Firm
MERCURY CAPITAL ADVISORS, LLC
CRD#: 152338 / SEC#: , 8-68442
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Financial | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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