Alan R. Leach
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 Ray Leach was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1980. Alan had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 27, Series 4, Series 24, Series 53 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2009 - December 21, 2017
SMITH SHELLNUT WILSON
February 16, 1999 - January 3, 2006
BANCORPSOUTH INVESTMENT SERVICES, INC.
May 27, 1997 - February 2, 1998
MERCHANTS INVESTMENT CENTER, INC.
November 20, 1991 - July 29, 1998
DEPOSIT GUARANTY INVESTMENTS, INC.
June 30, 1986 - June 11, 1988
FIRST FUNDS, INC.
September 25, 1980 - June 17, 1982
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
SMITH SHELLNUT WILSON
CRD#: 106235 / SEC#: 801-49071
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
SMITH SHELLNUT WILSON
CRD#: 106235 / SEC#: 801-49071
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 824 |
| AUM (Assets Under Management) | $ 8,022,382,580 |
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.
