Alan L. Elkes
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 Lloyd Elkes was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1995. Alan had worked at 2 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 26, Series 53, Series 4, Series 27 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
May 3, 1996 - July 25, 2001
DALTON KENT SECURITIES GROUP, INC.
January 3, 1995 - July 3, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
Series 55
Date: 7/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
DALTON KENT SECURITIES GROUP, INC.
CRD#: 38813 / SEC#: , 8-48435
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
