Andrea S. Dockery

ALPHA ADVISORS

Lakeland, FL 33801

Some features on this profile are disabled

CRD#: 2782705

Professional summary

Andrea Spiessl Dockery, who also goes by Andrea S Dockery, Inez Andrea Spiessl, is a registered financial advisor currently at ALPHA ADVISORS, LLC located in Lakeland, Florida.

Andrea is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Andrea has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrea S Dockery | Inez Andrea Spiessl

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RE/MAX Experts, 439 S. Florida Avenue, Lakeland, FL 33813 (same address for other LLCs): Andrea Dockery's other business interests are not investment related. Ms. Dockery is a Broker Associate at RE/MAX Experts, LLC, employed there since October 2012, working under the entity Andrea Spiessl Dockery, LLC, since September 2013. Ms. Dockery created another real estate limited liability company for acquisitions, Andrea Dockery Realty Group, LLC, as of August 2016. These real estate related businesses include the buying and selling of real estate, all aspects of the retail business, including administration, sales, marketing, etc. These business interests require over 150 hours a month of labor, approximately 70% of such time occurs "during trading hours."

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrea Spiessl Dockery's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 13, 2006 - Present

ALPHA ADVISORS, LLC

Office #1: 117 N Massachusetts Ave, Lakeland, FL 33801

RIA

CRD#: 138848

Lakeland, FL

Past

September 30, 1996 - March 21, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/13/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/27/1996

General Securities Representative Examination

Current Firm

ALPHA ADVISORS, LLC

ALPHA ADVISORS, INC. | ALPHA ADVISORS, LLC

CRD#: 138848 / SEC#: 801-65339

RIA

Registered Investment Advisory firm - (4/28/2009 Terminated)

Florida

Registered Investment Advisory firm - (4/27/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

117 N Massachusetts Ave, Lakeland, FL 33801

Mailing Address

P.o. Box 2477, Lakeland, FL 33806-2477

Phone number

(863) 665-8888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 31,479,867

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.

Similar Advisors

Frederick Sharbaugh

PARK AVENUE SECURITIES LLC

IAR

Baton Rouge, LA

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrea S. Dockery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrea Spiessl Dockery's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2006

Series 63

Date: 10/4/1996

Series 7

Date: 9/27/1996

Current Firm

ALPHA ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALPHA ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors