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Alan Perry Hess

Other Names: Alan P Hess
Firm:
Ameriprise Financial Services, Inc.
Type: Dual Registration
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Description

Alan Hess a financial professional at Ameriprise Financial Services, Inc., a broker-dealer with over 12,900 registered representatives nationwide. Alan has held an industry securities registration for 38 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 Perry Hess has not answered any questions on Financial Q&A.

Top Guides

Alan Perry Hess 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
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*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
Ameriprise Financial Services, Inc, 1 year, 1 month Apr 2012 - Present
Madison Avenue Securities, Inc. 3 years, 1 month Mar 2009 - Apr 2012
Madison Avenue Advisors, Inc. 2 years, 2 months Jan 2007 - Mar 2009
Madison Avenue Securities, Inc. 6 years Apr 2006 - Apr 2012
Hess Financial Services 10 years Apr 2002 - Apr 2012
Commonwealth Equity Services, Inc. 8 years Apr 1998 - Apr 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/13/2012, 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

No Disclosures Found

2 Customer Disputes

1 Customer Dispute Pending

1 Regulatory Event
As of Date
04/13/2012
02/05/2013
*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 11/07/2006
Uniform Securities Agent State Law Examination Series 63 08/27/1998
General Securities Principal Examination Series 00 12/18/1974
General Securities Principal Examination Series 24 12/18/1974

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees