Earle M. Alden
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.
Earle Michael Alden, who also goes by Earle M Alden, was a registered financial professional .
Earle is a previously registered financial professional and started their career in finance in 1962. Earle had worked at 12 firms and has passed the Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - March 25, 1999
WAMU INVESTMENTS, INC.
December 7, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
August 3, 1998 - November 19, 1998
IFMG SECURITIES, INC.
May 4, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 12, 1996 - April 16, 1998
UBS FINANCIAL SERVICES INC.
October 29, 1992 - May 6, 1994
PLANMEMBER SECURITIES CORPORATION
April 30, 1991 - June 12, 1996
FINANCIAL WEST GROUP
August 6, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
May 14, 1988 - August 3, 1990
LEHMAN BROTHERS INC.
January 5, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - January 12, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 1962 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 6/4/1962
Registered Representative ExaminationCurrent Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
