Carl C. Dockery

ALPHA ADVISORS

Lakeland, FL 33801

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CRD#: 4397374

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

February 7, 2006 - Present

ALPHA ADVISORS, LLC

Office #1: 117 N Massachusetts Ave, Lakeland, FL 33801Office #2: 2026 Crystal Wood Drive, Lakeland, FL 33801

RIA

CRD#: 138848

Lakeland, FL

Past

June 28, 2001 - January 27, 2006

ALLEN & COMPANY OF FLORIDA, LLC

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/14/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/27/2001

General Securities Representative Examination

Current Firm

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)

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).

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 31,479,867

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.

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Carl C. Dockery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALPHA ADVISORS, LLC

ALLEN & COMPANY OF FLORIDA, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/14/2001

Series 7

Date: 6/27/2001

Current Firm

ALPHA ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALPHA ADVISORS, LLC

TRUST BUT VERIFY

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