Alan W. Pratt
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 William Pratt was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1992. Alan had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2017 - January 3, 2020
LION STREET ADVISORS, LLC
August 11, 2017 - December 31, 2019
LION STREET FINANCIAL, LLC
April 24, 2001 - June 30, 2017
FSIC
November 30, 1998 - June 30, 2017
FSIC
August 23, 1995 - November 27, 1998
MUTUAL SERVICE CORPORATION
November 3, 1992 - November 30, 1998
JOHN HANCOCK DISTRIBUTORS 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
Current Firm
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
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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