Alan R. Blais
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 Robert Blais, who also goes by A. Robert Blais, Alan Blais, Robert Blais, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1993. Alan had worked at 5 firms and has passed the Series 63, Series 65 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
August 6, 2004 - September 30, 2014
FINANCE 500, INC.
October 4, 2001 - October 8, 2002
QUASAR DISTRIBUTORS, LLC
March 25, 1998 - January 9, 2018
OAKWOOD CAPITAL MANAGEMENT LLC
September 15, 1997 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
January 12, 1993 - August 8, 1997
MIDVALE SECURITIES CORPORATION
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
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 1 |
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.
