Alan James Ferrari
Professional Summary
Alan James Ferrari is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in Dwight, Illinois and HUNTLEIGH SECURITIES CORPORATION located in Morris, Illinois. Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Alan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 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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Contact Information
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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.
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.
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Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP
Contact Information
Main Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105Phone Number
(314) 236-2400# of Employees
55SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,838AUM (Assets Under Management)
$781,786,950Similar Advisors
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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.
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Primary Firm SEC Registration
HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP
State Registrations and Notice Filings
(1/11/2021)
(1/22/2021)
(1/4/2021)
(1/4/2021)
(1/4/2021)
(1/4/2021)
(5/13/2021)
(2/23/2021)
(1/4/2021)
(1/4/2021)
(1/4/2021)
(7/30/2026)
(1/4/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jun 2002Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1999About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Alan James Ferrari's CRS (Customer Relationship Summary).
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