Alan D. Reid
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 Dewitt Reid was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1989. Alan had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
February 2, 2016 - December 1, 2016
REGULUS FINANCIAL GROUP, LLC
December 10, 2013 - February 28, 2017
REGAL INVESTMENT ADVISORS LLC
May 11, 2010 - December 31, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
October 31, 2005 - May 12, 2010
OSAIC SERVICES, INC.
December 21, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 12, 1998 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
December 13, 1996 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
July 15, 1996 - December 13, 1996
AMERITAS INVESTMENT COMPANY, LLC
January 24, 1989 - June 18, 1996
TITAN/VALUE EQUITIES GROUP, 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
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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