Published on:

Alan Glick Allegedly Made Misrepresentations in Connection to an Annuity Sale

Alan Glick

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 23, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Alan Glick has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Glick (CRD# 223071).

Alan Glick has spent 45 years in the securities industry and has been registered with Wells Fargo Clearing Services in Los Angeles, California since 2014. Previous registrations include Morgan Stanley in Sherman Oaks, California (2009-2014); Citigroup Global Markets in Sherman Oaks, California (1993-2009); Lehman Brothers in New York, New York (1979-1993); Loeb Partners (1978-1979); Hornblower Weeks Noyes Trask (1977-1978); and Hornblower & Weeks Hemphill Noyes (1973-1977). He has passed ten securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 20, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 18, 1983; Series 15 (Foreign Currency Options Examination), which he obtained on December 12, 1983; Series 5 (Interest Rate Options Examination), which he obtained on October 17, 1981; PC (AMEX Put and Call Exam), which he obtained on May 16, 1977; Series 1 (Registered Representative Examination), which he obtained on February 26, 1973; Series 53 (Municipal Securities Principal Examination), which he obtained on June 15, 1998; Series 4 (Registered Options Principal Examination), which he obtained on April 7, 1983; Series 24 (General Securities Principal Examination), which he obtained on May 29, 1981; and Series 12 (NYSE Branch Manager Examination), which he obtained on April 11, 1981. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Massachusetts, Minnesota, Montana, Nevada, New Hampshire, New Mexico, New York, North Carolina, Oregon, South Carolina, Utah, and Washington. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

In January 2018 a customer alleged Alan Glick, while employed at Wells Fargo Clearing Services, made misrepresentations in connection to an annuity sale and caused unsuitable transactions in her accounts “without regard to her goals and risk tolerance.” The customer is seeking approximately $450,000 in damages in the pending complaint.

If you or someone you know has a complaint regarding Alan Glick, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.