AH
Alan L. Haworth
CLARE MARKET INVESTMENTS
DALLAS, TX 75204
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CRD#: 3086559
AH
Professional summary
Alan Lee Haworth is a registered financial advisor currently at CLARE MARKET INVESTMENTS, LLC located in Dallas, Texas.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Alan has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.Insurance sales; investment related: Yes; 5956 Sherry Lane, 10th Fl, Ste 1000, Dallas, TX 75225 USA; insurance sales; Insurance Agent; insurance sales; 2018-09-10; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0. 2. OWNER; DECLASSIFIED RECORDS LLC; INVESTMENT RELATED: NO; 4117 STANFORD AVE DALLAS TX 75225 USA; SELLING VINYL RECORDS; WILL OVERSEE OPERATION OF A STORE THAT WILL BE STAFFED BY ONE INDIVIDUAL RESPONSIBLE FOR SELLING VINYL RECORDS, DAILY OPERATION AND ADMINISTRATIVE DUTIES; START DATE: 2022-03-25; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 5; HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 10; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 1. 3. Stalking Butler App; investment related; 4117 Stanford Avenue Dallas TX 75225 US; Set up a LLC and hired individuals to develop an application to gather and compile financial data related to publicly traded companies, stock market, other public investments and fund managers from various public sources as a way to streamline the research process; Owner; manage the individuals developing the application, handle costs associated with the development; Start date: 2024-09-24; Hours per month devoted to business during trading hours: 30; Hours per month devoted to business outside trading hours: 60
CRS (Client Relationship Summary) - RIA
Click below to view Alan Lee Haworth'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®
NoneExperience
Current
September 10, 2018 - Present
CLARE MARKET INVESTMENTS, LLC
Office #1: 2620 State Street, Dallas, TX 75204RIA
CRD#: 217515
DALLAS, TX
Past
January 11, 2011 - September 14, 2018
OPPENHEIMER & CO. INC.
BD
CRD#: 249
DALLAS, TX
Past
January 7, 2011 - September 14, 2018
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
DALLAS, TX
Past
October 24, 2006 - January 11, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
August 24, 2006 - January 11, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
June 1, 2000 - March 22, 2001
WORLDXT LLC
BD
CRD#: 46112
JERSEY CITY, NJ
Past
October 15, 1998 - April 24, 2000
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
BD
CRD#: 17580
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CM
CLARE MARKET INVESTMENTS, LLC
CLARE MARKET INVESTMENTS, LLC
CRD#: 217515 / SEC#: 801-114649
RIA
Registered Investment Advisory firm - (2/4/2019 Approved)Texas
Registered Investment Advisory firm - (2/11/2019 Terminated)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
Texas(9/10/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CM
CLARE MARKET INVESTMENTS, LLC
CLARE MARKET INVESTMENTS, LLC
CRD#: 217515 / SEC#: 801-114649
RIA
Registered Investment Advisory firm - (2/4/2019 Approved)Texas
Registered Investment Advisory firm - (2/11/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2620 State Street, Dallas, TX 75204
Mailing Address
Phone number
(866) 659-1019
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 601 |
| AUM (Assets Under Management) | $ 556,000,000 |
Red Flags
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Company Information
CLARE MARKET INVESTMENTS, LLC
CRD#: 217515Dallas, TX 75204TRUST BUT VERIFY
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