Alan W. Shall

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CRD#: 1926314

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 Walter Shall was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1989. Alan had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

September 18, 2014 - December 31, 2018

SOUTHLAND EQUITY PARTNERS, LLC.

RIA

CRD#: 154481

AKRON, OH

Past

June 8, 2012 - December 31, 2017

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HUDSON, OH

Past

June 5, 2012 - December 31, 2017

FSC SECURITIES CORPORATION

CRD#: 7461

HUDSON, OH

Past

March 1, 2007 - June 5, 2012

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

AKRON, OH

Past

March 1, 2007 - June 5, 2012

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

AKRON, OH

Past

January 21, 2004 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

RIA

CRD#: 36405

AKRON, OH

Past

January 20, 2004 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

AKRON, OH

Past

October 6, 1999 - January 2, 2004

CHAMPAIGN INVESTMENT COMPANY

RIA

CRD#: 44338

AKRON, OH

Past

April 14, 1998 - January 2, 2004

CHAMPAIGN INVESTMENT COMPANY

CRD#: 44338

DUBLIN, OH

Past

August 9, 1995 - April 22, 1998

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

October 10, 1992 - September 16, 1993

INTEGRIS SECURITIES, LLC

CRD#: 30061

GREENWOOD VILLAGE, CO

Past

July 31, 1990 - April 21, 1992

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 13, 1989 - April 16, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

July 13, 1989 - April 16, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 7, 1989 - June 20, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 7, 1989 - June 20, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

March 21, 1989 - April 19, 1989

MARSHALL DAVIS, INC.

CRD#: 16278

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOUTHLAND EQUITY PARTNERS, LLC.

CRD#: 154481 / SEC#: 801-71977

RIA

Registered Investment Advisory firm - (11/17/2010 Approved)

Virginia

Registered Investment Advisory firm - (11/22/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/7/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 2/23/1998

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/15/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/27/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/5/1995

General Securities Principal Examination

Current Firm

SOUTHLAND EQUITY PARTNERS, LLC.

CRD#: 154481 / SEC#: 801-71977

RIA

Registered Investment Advisory firm - (11/17/2010 Approved)

Virginia

Registered Investment Advisory firm - (11/22/2010 Terminated)

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Contact information

Main Address

Wildwood, MO

Mailing Address

Po Box 7323, Charlottesville, VA 22906

Phone number

(770) 998-5879

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,680
AUM (Assets Under Management)	$ 785,307,417

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.

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Advisor Monitoring

Firm Stability Insights

Alan W. Shall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

CAPITAL SECURITIES OF AMERICA, INC.

CHAMPAIGN INVESTMENT COMPANY

CHAMPAIGN INVESTMENT COMPANY

APEX CLEARING CORPORATION

INTEGRIS SECURITIES, LLC

LOCUST STREET SECURITIES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MARSHALL DAVIS, INC.

Primary Firm SEC Registration

SOUTHLAND EQUITY PARTNERS, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1989

SIE

Date: 12/31/2017

Series 7

Date: 3/18/1989

Series 28

Date: 2/23/1998

Series 4

Date: 12/15/1997

Series 53

Date: 8/27/1997

Series 24

Date: 12/5/1995

Current Firm

SOUTHLAND EQUITY PARTNERS, LLC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUTHLAND EQUITY PARTNERS, LLC.

TRUST BUT VERIFY

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