Alan Waker is a registered investment advisor, based in Austin, TX, with 21 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Austin, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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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
Sigma Financial CorporationBroker
Previous Registrations
Sws Financial Services, INC.
Sws Financial Services, INC.Broker
Southwest Securities, INC.Broker
Southwest Securities, INC.
401(k) Investment Services, INC.Broker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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