Alan D. Wray
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 Dalton Wray was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2000. Alan had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 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
July 10, 2014 - October 14, 2014
CORNERSTONE WEALTH
July 1, 2014 - November 17, 2014
LPL FINANCIAL LLC
October 11, 2007 - June 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - June 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CORNERSTONE WEALTH
CRD#: 157935 / SEC#: 801-72561
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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