Alan F. Sue
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 Frank Sue was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1970. Alan had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2002 - November 26, 2003
PACIFIC WEST SECURITIES, INC.
March 13, 2002 - August 1, 2002
OSAIC WEALTH, INC.
May 7, 1998 - March 13, 2002
PIM FINANCIAL SERVICES, INC.
July 7, 1988 - April 1, 1997
OSAIC FS, INC.
February 25, 1988 - July 13, 1988
CONSECO EQUITY SALES, INC.
November 5, 1982 - July 2, 1985
PIONEER SECURITIES, INC.
March 28, 1979 - April 29, 1982
EQUITY SERVICES, INC.
December 21, 1970 - March 14, 1979
JOHN HANCOCK DISTRIBUTORS LLC
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
Series 1
Date: 12/19/1970
Registered Representative ExaminationCurrent Firm
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 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.
