Alvin L. Turner
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.
Alvin L Turner JR., who also goes by Al Turner, Alvin L. Turner Jr., Alvin L. Turner, was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 2003. Alvin had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2012 - September 10, 2014
CALDWELL INTERNATIONAL SECURITIES
June 22, 2011 - August 31, 2011
CALDWELL INTERNATIONAL SECURITIES
August 16, 2010 - June 21, 2011
PHD CAPITAL
June 9, 2010 - June 16, 2010
PHD CAPITAL
December 8, 2008 - March 31, 2010
E1 ASSET MANAGEMENT, INC.
October 5, 2007 - February 19, 2008
E1 ASSET MANAGEMENT, INC.
January 13, 2004 - April 27, 2007
E1 ASSET MANAGEMENT, INC.
October 2, 2003 - December 5, 2003
EKN FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| 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.
