Alan B. Phares
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 Brelsford Phares JR, who also goes by Alan B Phares Jr, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1981. Alan had worked at 5 firms and has passed the Series 63, Series 15 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
May 17, 2001 - May 1, 2009
CAREY, THOMAS, HOOVER, & BREAULT, INC.
October 29, 1994 - May 17, 2001
CAREY, THOMAS & ASSOCIATES, INC.
June 9, 1993 - February 16, 1994
UBS FINANCIAL SERVICES INC.
September 4, 1990 - June 8, 1993
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 13, 1981 - September 11, 1990
PRUDENTIAL EQUITY GROUP, LLC
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
Series 15
Date: 4/22/1983
Foreign Currency Options ExaminationCurrent Firm
CAREY, THOMAS, HOOVER, & BREAULT, INC.
CRD#: 38367 / SEC#: , 8-48215
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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