Michael Shaughnessy Alfred
| Other Names: | Michael S Alfred, Mike S. Alfred |
|---|---|
| Firm: | No Current Employment Listed |
| Firm Location: | Not Available |
| Firm Primary Clients: | Not Available |
| Type: | Not Actively Registered |
Description
This advisor is not actively registered with FINRA or the SEC.
BrightScope Advisor Metrics
Answers and Guides
0 Answers and 0 Financial Guides
Top Answers
Michael Shaughnessy Alfred has not answered any questions on Financial Q&A.Top Guides
Michael Shaughnessy Alfred has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.
Firm Client Types
No client types listed.
Experience and Employment History
| Employer | Years | Dates |
|---|---|---|
| Alfred Capital Management, LLC | 4 years, 8 months | Oct 2007 - Present |
| Massmutual Financial | 2 years, 6 months | Apr 2005 - Oct 2007 |
| Mml Investors Services | 2 years, 6 months | Apr 2005 - Oct 2007 |
| Firehouse Brewing Company | 3 years | Oct 2004 - Oct 2007 |
| AXA Advisors, LLC | 2 years, 7 months | Sep 2002 - Apr 2005 |
| Woodbury Financial | 4 months | Mar 2002 - Jul 2002 |
| Stanford University | 3 years, 9 months | Sep 1999 - Jun 2003 |
| Vector Marketing | 4 years, 3 months | Jun 1999 - Sep 2003 |
*Experience and Employment History information reflects the past 10
years of employment as reported on the SEC ADV filing as of 10/23/2009, 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
| Regulator |
|
|
|---|---|---|
| License Status |
Not registered
|
Not registered
|
| Disclosures |
1 Customer Dispute |
1 Customer Dispute |
| As of Date |
10/23/2009
|
10/23/2009
|
*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.
*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
| Exam | Series | Passed Date |
|---|---|---|
| Uniform Investment Adviser Law Examination | Series 65 | 01/02/2003 |
| General Securities Representative Examination | Series 7 | 11/01/2002 |
| Uniform Securities Agent State Law Examination | Series 63 | 04/16/2002 |
| Investment Company Products/Variable Contracts Representative Examination | Series 6 | 04/16/2002 |
Firm Compensation Arrangements
No compensation arrangements listed.
