CD
Carl C. Dockery
ALPHA ADVISORS
LAKELAND, FL 33801
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CRD#: 4397374
CD
Carl Croffard DockeryALPHA ADVISORS
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
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.
(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.
CRS (Client Relationship Summary) - RIA
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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 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)Loading...
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
3
Regulatory assets under management
| Total Number of Accounts | 135 |
| AUM (Assets Under Management) | $ 31,753,144 |
Red Flags
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Company Information
ALPHA ADVISORS, LLC
CRD#: 138848Lakeland, FL 33801TRUST BUT VERIFY
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