Alison M. Passeck
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.
Alison Marcia Passeck, who also goes by Alison Jurhs, Alison M Passeck, Alison Marcia Passeck Adams, Alison M Passeck-cain, Alison Marcia Passeck-cain, Alison Passeckjurhs, Alison P Weidner, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 1996. Alison had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2015 - June 1, 2015
NOVA FINANCIAL SERVICES
November 6, 2014 - June 1, 2015
MUTUAL SECURITIES, INC.
December 23, 2011 - October 6, 2014
PRUCO SECURITIES, LLC.
June 11, 2009 - December 13, 2010
MSI FINANCIAL SERVICES, INC.
April 2, 2007 - May 29, 2009
MORGAN STANLEY & CO. LLC
January 20, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
August 12, 1996 - January 4, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NOVA FINANCIAL SERVICES
CRD#: 150148 / SEC#: 801-79612
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
Current Firm
NOVA FINANCIAL SERVICES
CRD#: 150148 / SEC#: 801-79612
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,354 |
| AUM (Assets Under Management) | $ 391,234,000 |
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.
