AW
Alan A. Waker
SPC
AUSTIN, TX
Some features on this profile are disabled
CRD#: 4906025
AW
Professional summary
Alan Aldo Waker, AIF® is a registered financial advisor currently at SPC located in Austin, Texas and SIGMA FINANCIAL CORPORATION located in Austin, Texas.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alan has worked at 8 firms and has passed the Series 66, SIE 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.
WAKER FINANCIAL STRATEGIES: SOLE PROPRIETORSHIP. DEVELOPS AND PROVIDES BUSINESS PLANS AND STRATEGIES TO SMALL AND MEDIUM SIZED COMPANIES. NO CONFLICTS OF INTEREST. Owner - Austin Bookkeeping, Bee Cave, TX. Business provides accounting, payroll, bookkeeping and CFO-related services to a small group of small businesses in the Austin, TX area. Provide guidance to staff who provide the services. Start date: 3/23/22, approx. 15 hrs/mo, none during mkt hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Aldo Waker'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®
Experience
Current
September 28, 2012 - Present
SPC
RIA
CRD#: 110692
AUSTIN, TX
Current
September 28, 2012 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
AUSTIN, TX
Past
October 27, 2009 - October 2, 2012
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
AUSTIN, TX
Past
October 27, 2009 - October 2, 2012
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
AUSTIN, TX
Past
December 23, 2008 - October 19, 2009
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
AUSTIN, TX
Past
December 23, 2008 - October 19, 2009
HILLTOP SECURITIES INC.
BD
CRD#: 6220
AUSTIN, TX
Past
August 11, 2008 - October 31, 2008
401(K) INVESTMENT SERVICES, INC.
BD
CRD#: 31150
AUSTIN, TX
Past
July 30, 2008 - October 31, 2008
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
AUSTIN, TX
Past
July 30, 2008 - October 31, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
AUSTIN, TX
Past
January 1, 2008 - July 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AUSTIN, TX
Past
January 1, 2008 - July 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AUSTIN, TX
Past
April 27, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
AUSTIN, TX
Past
March 18, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
AUSTIN, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(9/28/2012)
IAR
Texas(9/28/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
