Alan C. Spivey
Professional summary
Alan Christian Spivey, who also goes by Alan C Spivey, Alan Spivey, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 4, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Christian Spivey's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260September 15, 2003 - January 31, 2026
CHARLES SCHWAB & CO., INC.
July 1, 2002 - August 15, 2003
PMB SECURITIES CORP.
October 12, 2000 - July 25, 2002
DREYFUS BROKERAGE SERVICES, INC.
August 24, 1993 - October 2, 2000
CHARLES SCHWAB & CO., 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
(3/24/2026)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 8
Date: 8/12/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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