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Alan Alfred Cerro

Description

Alan Cerro is a financial professional at Summit Financial Advisors, LLC, a $135M dollar RIA based in Downtown, CA. Alan has held an industry securities registration for 15 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Alan Alfred Cerro has not answered any questions on Financial Q&A.

Top Guides

Alan Alfred Cerro 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

*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
Dutra Cerro Graden, Inc. 8 years, 5 months Jan 2005 - Present
Summit Financial Advisors 6 years, 6 months Jul 1998 - Jan 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/09/2007, 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
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
07/09/2007
07/09/2007
*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
Uniform Investment Adviser Law Examination Series 65 10/28/1998
General Securities Representative Examination Series 7 07/31/1998
Uniform Securities Agent State Law Examination Series 63 02/25/1997
Investment Company Products/Variable Contracts Representative Examination Series 6 02/25/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees