Alan R. Carlisle
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 R Carlisle, who also goes by Alan Richard Carlisle, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1995. Alan had worked at 33 firms and has passed the Series 65, Series 63, Series 6TO, Series 42, Series 62, Series 79TO, Series 82TO, Series 22TO, Series 72, Series 99TO, Series 52TO, Series 57TO, Series 87, SIE, Series 3, Series 55, Series 7, Series 28, Series 26, Series 14, Series 39, Series 53, Series 27, Series 4, Series 10, Series 9 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, 2023 - September 18, 2024
PUBLIC ADVISORS LLC
January 23, 2023 - September 18, 2024
OPEN TO THE PUBLIC INVESTING, INC.
July 20, 2022 - December 9, 2022
FREC SECURITIES LLC
January 4, 2017 - July 8, 2022
SOFI WEALTH LLC
January 4, 2017 - July 8, 2022
SOFI SECURITIES LLC
July 14, 2015 - December 31, 2016
SUTTER SECURITIES CLEARING, LLC
September 27, 2013 - July 6, 2015
SCF INVESTMENT ADVISORS, INC.
September 26, 2013 - July 6, 2015
SCF SECURITIES, INC.
August 6, 2013 - September 16, 2013
VFG ADVISORS, INC.
August 1, 2013 - September 16, 2013
VFG SECURITIES, INC.
December 19, 2012 - August 2, 2013
SCF INVESTMENT ADVISORS, INC.
December 19, 2012 - August 2, 2013
SCF SECURITIES, INC.
November 28, 2012 - January 3, 2013
CABIN SECURITIES, INC.
August 11, 2011 - September 27, 2012
PATHWAY STRATEGIC ADVISORS
March 8, 2011 - September 27, 2012
ALLWORTH FINANCIAL, L.P.
March 7, 2011 - September 27, 2012
AW SECURITIES
July 29, 2010 - March 7, 2011
SECURITIES AMERICA ADVISORS, INC.
July 27, 2010 - March 7, 2011
SECURITIES AMERICA, INC.
June 3, 2009 - July 26, 2010
SCF INVESTMENT ADVISORS, INC.
June 2, 2009 - July 26, 2010
SCF SECURITIES, INC.
March 9, 2009 - June 9, 2009
DIRECT CAPITAL SECURITIES, INC.
November 8, 2007 - December 12, 2008
CHARTER PACIFIC SECURITIES, LLC
October 2, 2006 - April 23, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 2, 2006 - April 23, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 7, 2006 - September 7, 2006
NEXT FINANCIAL GROUP, INC.
August 7, 2006 - September 7, 2006
NEXT FINANCIAL GROUP, INC.
April 18, 2005 - August 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 18, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 18, 2005 - August 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 2005 - April 7, 2005
EPLANNING SECURITIES, INC.
February 28, 2005 - April 7, 2005
EPLANNING ADVISORS INC
April 12, 2004 - June 11, 2004
LPL FINANCIAL LLC
April 12, 2004 - June 11, 2004
LPL FINANCIAL LLC
April 12, 2002 - April 2, 2004
EPLANNING ADVISORS INC
December 17, 2001 - April 2, 2004
EPLANNING SECURITIES, INC.
March 29, 2001 - December 14, 2001
MORGAN STANLEY DW INC.
October 5, 2000 - February 27, 2001
R.K. GRACE & COMPANY
February 8, 2000 - October 13, 2000
ARCHIPELAGO TRADING SERVICES, INC.
September 22, 1998 - November 18, 1999
WMA SECURITIES, INC.
August 30, 1997 - October 3, 1997
BROWNCO, LLC
March 28, 1996 - June 24, 1997
CHARLES SCHWAB & CO., INC.
January 22, 1996 - February 8, 1996
FAIRCHILD FINANCIAL GROUP, INC.
September 22, 1995 - October 24, 1995
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
PUBLIC ADVISORS LLC
CRD#: 318234 / SEC#: 801-123433
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/24/2000
Limited Representative-Equity Trader ExamSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PUBLIC ADVISORS LLC
CRD#: 318234 / SEC#: 801-123433
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,429 |
| AUM (Assets Under Management) | $ 8,812,622 |
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.
