AW
AW

Alan Aldo Waker

20 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
474 advisors
Number of Clients
30,881 clients
Average Client Portfolio
$183K average
Assets Under Management
$5.7B

Fee Structure

Minimum Investment:$10K
Financial Planning:Investment management only
Minimum Annual Fee:$25
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Location

300 Parkland Plaza, Ann Arbor, MI, 48103

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Alan is the sole proprietor of Waker Financial Strategies, developing business plans for small and medium-sized companies. He also owns Austin Bookkeeping, providing accounting and CFO services, dedicating about 10-20% of his time to this.

Employment History
Current Registrations
Spc
September 2012 - Present · 13 yrs 5 mos
Sigma Financial CorporationBroker
September 2012 - Present · 13 yrs 5 mos
Previous Registrations
Sws Financial Services, INC.
October 2009 - October 2012 · 3 yrs
Sws Financial Services, INC.Broker
October 2009 - October 2012 · 3 yrs
Southwest Securities, INC.Broker
December 2008 - October 2009 · 10 mos
Southwest Securities, INC.
December 2008 - October 2009 · 10 mos
401(k) Investment Services, INC.Broker
August 2008 - October 2008 · 2 mos
Charles Schwab & CO., INC.
July 2008 - October 2008 · 3 mos
Charles Schwab & CO., INC.Broker
July 2008 - October 2008 · 3 mos
Wachovia Securities, LLC
January 2008 - July 2008 · 6 mos
Wachovia Securities, LLCBroker
January 2008 - July 2008 · 6 mos
A. G. Edwards & Sons, INC.
April 2005 - January 2008 · 2 yrs 9 mos
A. G. Edwards & Sons, INC.Broker
March 2005 - January 2008 · 2 yrs 10 mos
State Registrations1 state
TX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Alan Aldo Waker - Financial Advisor | TrueAdvisor