Alan A. Flores
Professional summary
Alan Alfredo Flores is a registered financial advisor currently at DARKHORSE ADVISOR located in Newport Beach, California.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Alan has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alan Alfredo Flores's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2020 - Present
DARKHORSE ADVISOR
Office #1: 1011 Cliff Drive, Newport Beach, CA 92663May 22, 2009 - June 3, 2020
CLEARVIEW INVESTMENT PARTNERS, LLC
June 28, 2002 - June 4, 2009
UBS FINANCIAL SERVICES INC.
June 28, 2002 - June 4, 2009
UBS FINANCIAL SERVICES INC.
July 8, 1997 - July 11, 2002
A. G. EDWARDS & SONS, INC.
May 23, 1997 - July 11, 2002
A. G. EDWARDS & SONS, INC.
August 13, 1993 - June 6, 1997
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/25/2020)
(3/1/2021)
Exams
Current Firm
DARKHORSE ADVISOR
CRD#: 309558 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 95 |
| AUM (Assets Under Management) | $ 36,484,138 |
Red Flags
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