Manager of Compliance and Education
Alan interacts daily with advisors and team members as it relates to compliance, supervision and educational topics and events and is also responsible for day-to-day OSJ supervision of new account approvals, trade review, office inspections. Alan holds Series 7, 9, 10, 4, 24, 63 & 66 securities registrations. Prior to joining Prosperity, Alan was with Fifth Third Securities in Cincinnati, where he was a General and Options Principal of the firm. Prior to that, Alan spent nine years at Fidelity investments in various roles, from customer service representative, to stock trader, to principal review.