Alan B. Ross
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 Blair Ross was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 3 firms and has passed the Series 63, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2012 - April 2, 2015
METIS, L.L.C.
September 26, 2002 - June 12, 2012
DAVIS-ROSS INVESTMENT ADVISERS, LLC
February 10, 1982 - December 19, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
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: 2/4/1972
Registered Representative ExaminationSeries 00
Date: 8/1/1975
General Securities Principal ExaminationCurrent Firm
METIS, L.L.C.
CRD#: 161075 / SEC#: 801-74286
Contact information
Red Flags
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