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AC

Alan L. Crouse

Some features on this profile are disabled
CRD#: 5446465
AC

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 Lee Crouse, CFP®, who also goes by Alan L Crouse, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 2007. Alan had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan L Crouse

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

June 20, 2024 - March 6, 2026

ALIGHT FINANCIAL SOLUTIONS, LLC

BD
CRD#: 36509
CHICAGO, IL
Past

June 18, 2024 - March 6, 2026

ALIGHT FINANCIAL ADVISORS, LLC

RIA
CRD#: 158744
NORTHVILLE, MI
Past

February 20, 2018 - March 31, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
ANN ARBOR, MI
Past

February 20, 2018 - March 31, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
ANN ARBOR, MI
Past

May 22, 2014 - February 13, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
NORTHVILLE, MI
Past

June 14, 2012 - February 13, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

March 1, 2011 - May 31, 2012

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
BEVERLY HILLS, MI
Past

March 1, 2011 - May 31, 2012

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
BEVERLY HILLS, MI
Past

April 23, 2009 - March 10, 2011

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
NORTHVILLE, MI
Past

April 13, 2009 - March 10, 2011

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
DETROIT, MI
Past

December 14, 2007 - January 14, 2009

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
PLYMOUTH, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/3/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/26/2015
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AF
ALIGHT FINANCIAL SOLUTIONS, LLC
ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC

CRD#: 36509 / SEC#: , 8-47344

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
320 South Canal Street 50th Floor, Chicago, IL 60606
Mailing Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Phone number
(224) 737-7000
Established
Illinois since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALIGHT SOLUTIONS, LLCOWNER
CHOTKOWSKI, MATTHEW ADAMCHIEF COMPLIANCE OFFICER5233117
FRITZ, JEREMY JASONDIRECTOR OF BROKERAGE AND PERSONAL FINANCE SERVICES/COO3261871
KEITH, DOUGLAS SCOTTCHIEF FINANCIAL OFFICER5190086

Disclosures

Regulatory Event2
Arbitration2

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.

Company Information

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

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