Alan A. Schroder
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 Arthur Schroder SR., who also goes by Alan Arthur Schroder, was a registered financial advisor .
Alan is a previously registered financial advisor and started their career in finance in 1974. Alan had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2004 - October 19, 2004
QUICK & REILLY, INC.
March 27, 2002 - February 24, 2004
BANC OF AMERICA SECURITIES LLC
February 12, 2002 - December 31, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 12, 2002 - December 31, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 2, 2000 - March 15, 2002
MORGAN STANLEY & CO. LLC
March 23, 1984 - March 7, 2002
MORGAN STANLEY DW INC.
January 3, 1984 - March 16, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 13, 1978 - February 7, 1984
INSTITUTIONAL EQUITY CORPORATION
November 20, 1974 - April 13, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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: 10/11/1989
Foreign Currency Options ExaminationSeries 5
Date: 10/5/1989
Interest Rate Options ExaminationSeries 8
Date: 10/22/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUICK & REILLY, INC.
CRD#: 11217 / SEC#: , 8-17986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUICK & REILLY/FLEET SECURITIES, INC. | 100% SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | EXECUTIVE VICE PRESIDENT | 1079745 |
| CONWAY, JOSEPH FRANCIS | SROP | 1299116 |
| DORFMAN, BETH ELYSE | GENERAL COUNSEL & SECRETARY | 1299764 |
| GOLDMEER, MICHELE | SENIOR COUNSEL & ASSISTANT SECRETARY | 4273410 |
| GREGOR, STANLEY ANTHONY | PRESIDENT /CEO | 1672974 |
| LOUKAS, RONALD STANSBURY | MUNICIPAL PRINCIPAL | 1054716 |
| MATTIA, GERARD | CHIEF OPERATING OFFICER | 4728053 |
| MOYNIHAN, BRIAN | BOARD MEMBER | 4553207 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER | 1821188 |
| SCHRODER, ALAN ARTHUR SR. | DIRECTOR | 801763 |
| TEMPLE, CYNTHIA JO | CHIEF OPERATIONS OFFICER | 2444506 |
| WINTHER, TORBEN OLELERCHE | CHIEF COMPLIANCE OFFICER | 1821483 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 2 |
| Arbitration | 10 |
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.
