CD
Carl C. Dockery
ALPHA ADVISORS
Lakeland, FL 33801
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CRD#: 4397374
CD
Professional summary
Carl Croffard Dockery is a registered financial advisor currently at ALPHA ADVISORS, LLC located in Lakeland, Florida.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Carl has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
Alpha Venture Capital Management, LLC, P.O. Box 2477, Lakeland, FL 33806-2477: Alpha Venture Capital Management is the general partner for Alpha Venture Capital Partners, LP, and Alpha Venture Capital Fund, LP, investing in venture capital style securities, both private and public. As the Manager since its inception in September 2010, Mr. Dockery devotes approximately 90 hours per month to this part of his investment business, roughly 45% of these hours occur during "trading hours." This business is investment related. Duties include reviewing information related to the limited partnerships' holdings or prospective candidates for purchase, supplemental research, occasionally meeting with clients or prospective clients, and administrative and operational duties.
Alpha Advisors Insurance Agency, LLC, P.O. Box 2477, Lakeland, FL 33806-2477: As President of this insurance agency since its inception in October 2013, Mr. Dockery devotes approximately 5 hours per month to this ancillary component of his investment business, roughly 60% of this time occurs during "trading hours." This business is not investment related. Duties include researching and writing insurance products (such as fixed indexed annuities, long term care policies, and other asset preservation/risk mitigation/income producing insurance instruments), meeting with prospects and clients, and doing supplemental research and continuing education for such activities.
Aytu BioScience, Inc., 373 Inverness Parkway, Suite 206, Englewood, CO 80112: As a Director of this biotech company (specializing in urological drugs and devices) since April 2016, Mr. Dockery devotes over 25 hours a month overseeing the management team of the company and creating policy, including as a member of various board committees of this public company. This business is investment related and approximately 40% of hours spent occur during "trading hours."
CRS (Client Relationship Summary) - RIA
Click below to view Carl Croffard Dockery's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 7, 2006 - Present
ALPHA ADVISORS, LLC
Office #1: 117 N Massachusetts Ave, Lakeland, FL 33801Office #2: 2026 Crystal Wood Drive, Lakeland, FL 33801RIA
CRD#: 138848
Lakeland, FL
Past
June 28, 2001 - January 27, 2006
ALLEN & COMPANY OF FLORIDA, LLC
BD
CRD#: 25
LAKELAND, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(2/17/2006)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
AA
ALPHA ADVISORS, LLC
ALPHA ADVISORS, INC. | ALPHA ADVISORS, LLC
CRD#: 138848 / SEC#: 801-65339
RIA
Registered Investment Advisory firm - (4/28/2009 Terminated)Florida
Registered Investment Advisory firm - (4/27/2009 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
117 N Massachusetts Ave, Lakeland, FL 33801
Mailing Address
P.o. Box 2477, Lakeland, FL 33806-2477
Phone number
(863) 665-8888
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 125 |
| AUM (Assets Under Management) | $ 31,479,867 |
Red Flags
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Company Information
ALPHA ADVISORS, LLC
CRD#: 138848Lakeland, FL 33801TRUST BUT VERIFY
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