Alan S. Unger
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 Stuart Unger, who also goes by Alan S Unger, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2005. Alan had worked at 8 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2013 - March 20, 2018
AU WEALTHPLAN
May 15, 2012 - April 8, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 10, 2012 - May 14, 2012
AU WEALTHPLAN
January 14, 2011 - September 29, 2011
STRATEGIC ADVISERS LLC
January 4, 2011 - September 28, 2011
FIDELITY BROKERAGE SERVICES LLC
September 4, 2009 - December 6, 2010
QA3 FINANCIAL LLC
September 1, 2009 - December 6, 2010
QA3 FINANCIAL CORP.
June 15, 2007 - September 15, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 11, 2007 - September 15, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 28, 2005 - April 26, 2007
UBS FINANCIAL SERVICES INC.
October 28, 2005 - April 26, 2007
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AU WEALTHPLAN
CRD#: 159438 / SEC#:
Contact information
Red Flags
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