Alan J. Head
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 Jeffrey Head was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1997. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2023 - July 6, 2023
HAVELI GLOBAL SECURITIES, LLC
January 30, 2019 - March 21, 2019
PARKSIDE SECURITIES, INC.
January 26, 2017 - January 11, 2018
SIXTH STREET BD, LLC
August 30, 2016 - July 3, 2019
BROOKLANDS CAPITAL STRATEGIES BD, LP
October 13, 2014 - March 11, 2022
TPG CAPITAL BD, LLC
November 20, 2013 - September 19, 2014
NEXPOINT SECURITIES, INC.
November 29, 2010 - September 19, 2014
NEXBANK SECURITIES INC
August 19, 2005 - September 29, 2010
CAPIS
May 13, 2004 - August 17, 2005
ONEAMERICA SECURITIES, INC.
July 16, 2003 - April 30, 2004
BRUNDYN SECURITIES INC.
June 3, 2002 - July 14, 2003
SALOMON GREY FINANCIAL CORPORATION
January 26, 2000 - December 19, 2001
SCOTTRADE, INC.
January 27, 1998 - September 17, 1999
SCOTTRADE, INC.
July 16, 1997 - January 13, 1998
RIVERSTONE WEALTH MANAGEMENT, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/17/2002
Limited Representative-Equity Trader ExamCurrent Firm
HAVELI GLOBAL SECURITIES, LLC
CRD#: 323042 / SEC#: , 8-70971
Contact information
FINRA licenses (47 States and Territories)
Documents
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.
