Alan J. Coleman
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 James Coleman was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1990. Alan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2006 - December 31, 2020
IC ADVISORY SERVICES, INC.
January 19, 2006 - June 2, 2006
THE INVESTMENT CENTER, INC.
January 19, 2006 - December 31, 2020
THE INVESTMENT CENTER, INC.
December 15, 2003 - February 3, 2006
AMERITAS INVESTMENT COMPANY, LLC
September 22, 2000 - February 3, 2006
AMERITAS INVESTMENT COMPANY, LLC
June 6, 1994 - October 10, 2000
WMA SECURITIES, INC.
July 1, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 10, 1990 - July 2, 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
Current Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
