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Carl Croffard Dockery

ALPHA ADVISORS
LAKELAND, FL
·CRD# 4397374·25 years experience

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.

At a Glance

Always Fiduciary

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

25 years in the financial services industry

Current & Past Employments

ALPHA ADVISORS, LLC·CRD# 138848
RIA
117 N Massachusetts Ave, Lakeland, FL 33801
February 7, 2006 - Present
ALLEN & COMPANY OF FLORIDA, LLC·CRD# 25
BD
Lakeland, FL
June 28, 2001 - January 27, 2006

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LAKELAND, FL · CRD#

Current Firm

AA
ALPHA ADVISORS, LLC

ALPHA ADVISORS, INC. | ALPHA ADVISORS, LLC

CRD#: 138848 / SEC#: 801-65339
RIA
Registered Investment Advisory firm - SEC (4/28/2009 Terminated)
Florida
Registered Investment Advisory firm - Florida (4/27/2009 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

# of Employees

3

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

135

AUM (Assets Under Management)

$31,753,144

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LAKELAND, FL · CRD#

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.

(1) Alpha Venture Capital Management, LLC, P.O. Box 2477, Lakeland, FL 33806-2477: Alpha Venture Capital Management has served as a general partner for pooled assets such as investments in venture capital style securities, both private and public and will likely do so again. In such capacity 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 holdings or prospective candidates for purchase, supplemental research, occasionally meeting with clients or prospective clients, and administrative and operational duties.
(2) 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 3 hours per month to this ancillary component of his investment business, roughly 60% of this time occurs during "trading hours." 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.
(3) Aytu BioScience, Inc., 373 Inverness Parkway, Suite 206, Englewood, CO 80112: As a Director of this biotech company (specializing in medicines for treating complex central nervous system diseases) 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."
(4) Alpha Farm Holdings, LLC; P.O. Box 2477, Lakeland, FL 33806-2477: As the Manager of Alpha Farm Holdings, Mr. Dockery holds and manages real assets related to a farm and rural agricultural land. This business is not investment related. Mr. Dockery spends roughly 5 hours per month on this business.
(5) Alpha Investment Holdings, LLC, P.O. Box 2477, Lakeland, FL 33806-2477: Mr. Dockery is the Manager of Alpha Investment Holdings, LLC, a holding company for liquid investments. This business is investment related and Mr. Dockery spends approximately 1 hour per month on this business.
(6) Doc's Family Co, LLC, P.O. Box 2477, Lakeland, FL 33806-2477: Mr. Dockery is the Doc's Family Co, LLC, a company for liquid investments for synthetic family trust. This business is investment related and Mr. Dockery spends approximately 2 hour per month on this business.
(7) Dockery Real Properties, LLC, P.O. Box 2477, Lakeland, FL 33806-2477: Mr. Dockery is the Manager of Dockery Real Properties, LLC, a company that owns, manages, and leases commercial office space. This business is not investment related and Mr. Dockery spends on average 10 hours a month on this business.

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LAKELAND, FL · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2001About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Jun 2001About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Carl Croffard Dockery's CRS (Customer Relationship Summary).

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