Alan R. Oliva Chapela
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 Rene Oliva Chapela, who also goes by Alan R Chapela, Alan Rene Oliva Chapela, Alan Oliva Chapela, Alan Rene Oliva, Alan Oliva, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2018. Alan had worked at 2 firms and has passed the Series 63, 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
January 7, 2020 - January 23, 2020
LINDEN THOMAS AND COMPANY SECURITIES, LLC
August 17, 2018 - October 25, 2019
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LINDEN THOMAS AND COMPANY SECURITIES, LLC
CRD#: 290244 / SEC#: , 8-70026
Contact information
FINRA licenses (43 States and Territories)
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.
