Alice Mui
Professional Summary
Alice Mui, who also goes by Aly Mui, Alyce Mui, is a registered financial advisor currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky. Alice is registered as a RR (Registered Representative) and started their career in finance in 2005. Alice has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Aly Mui, Alyce Mui
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
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.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Current Firm
INVESTMENT DISTRIBUTORS, INC.
Contact Information
Main Address
2801 Highway 280 South, Birmingham, AL 35223Mailing Address
2801 Highway 280 South, Birmingham, AL 35223Phone Number
(205) 268-5202Established
Tennessee since 08/30/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT COMPANY | — |
| BAGGETT, ALAN S | ASSISTANT FINANCIAL OFFICER | 8088232 |
| CARLSON, MARTHA L | DESIGNATED RESPONSIBLE LICENSED PRODUCER | 2731502 |
| COFFMAN, BENJAMIN PAUL | CHIEF FINANCIAL OFFICER | 6738662 |
| COLLAZO, KIMBERLY | ASSISTANT SECRETARY | 8075061 |
| CREUTZMANN, SCOTT EMIL | DIRECTOR | 5351383 |
| LANE, JAMIE LAURA | DIRECTOR | 5779720 |
| LEOPARD, RAMONA MARTIN | ASSISTANT SECRETARY | 8312207 |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
| MORSCH, LETITIA A | DIRECTOR & ASSISTANT SECRETARY | 5133531 |
| PEEVY, MELINDA LUCAS | SECRETARY | 8235249 |
| TENNENT, RAYBURN EDWARD | ASSISTANT FINANCIAL OFFICER | 6245099 |
| WAGNER, JAMES CARL JR | PRESIDENT & DIRECTOR | 4261922 |
Disclosures
Regulatory Event
1Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
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.
The advisor shows no other business activity.
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
State Registrations and Notice Filings
(1/3/2022)
(1/3/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2005About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 2007About the Series 26 examSRO Registrations
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Alice Mui's CRS (Customer Relationship Summary).
Similar Advisors
CAPITAL ADVISORY SERVICES, LLC