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Alan Earl Brookshire

Firm:
Oppenheimer & Co. Inc.
Type: Dual Registration
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Description

Alan Brookshire a financial professional at Oppenheimer & Co. Inc., a broker-dealer with over 2,300 registered representatives nationwide. Alan has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Alan Earl Brookshire has not answered any questions on Financial Q&A.

Top Guides

Alan Earl Brookshire has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Oppenheimer & Co 4 years, 2 months Mar 2009 - Present
Stanford Group Company 4 months Nov 2008 - Mar 2009
UBS Financial Services Inc. 6 years Nov 2002 - Nov 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated 5 years, 8 months Mar 1997 - Nov 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/12/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

7 Customer Disputes

7 Customer Disputes
As of Date
09/12/2011
09/12/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Futures Managed Funds Examination Series 31 02/10/2006
Uniform Investment Adviser Law Examination Series 65 07/22/2002
Uniform Securities Agent State Law Examination Series 63 02/17/1995
General Securities Representative Examination Series 7 02/03/1995

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: (6) Performance-based fees