Alan C. Bryant
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 Clayton Bryant, who also goes by Alan C Bryant, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1998. Alan had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - January 30, 2018
NUVEEN SECURITIES, LLC
November 1, 2007 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 20, 2005 - September 28, 2005
BOFA DISTRIBUTORS, INC.
March 31, 2000 - August 20, 2005
BACAP DISTRIBUTORS, LLC
May 6, 1999 - January 5, 2000
STEPHENS
September 1, 1998 - February 11, 1999
WS GRIFFITH SECURITIES, 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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
