Alan C. Davies
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 Clive Davies, who also goes by Alan Davies, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2013. Alan had worked at 3 firms and has passed the Series 63, Series 7TO, SIE 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
November 13, 2020 - February 22, 2022
PANMURE GORDON SECURITIES LIMITED
February 21, 2017 - October 21, 2019
MEDIOBANCA SECURITIES USA LLC
June 3, 2013 - April 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/18/2024
General Securities Representative ExaminationCurrent Firm
PANMURE GORDON SECURITIES LIMITED
CRD#: 268823 / SEC#: , 8-69631
Contact information
Documents
Red Flags
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