Alan Jeffrey Head
Professional Summary
Alan Jeffrey Head was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1997 - 2023. Alan had worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 79, Series 31, Series 55, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
HAVELI GLOBAL SECURITIES, LLC
Contact Information
Main Address
405 Colorado St Suite 1600, Austin, TX 78701Mailing Address
405 Colorado St Suite 1600, Austin, TX 78701Phone Number
(512) 809-9092Established
Delaware since 06/24/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Aug 2011About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2002Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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