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Detailed Report
ALBERT CLARK ALVEY
CRD#: 3088610
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Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199820002002200420062008201020122014IAPAULSON INVESTMENT COMPANY, INC. (CRD# 5670)2007 - 2009 (1 year)IAINVESTMENT MANAGEMENT CORPORATION (CRD# 37196)2003 - 2007 (4 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 2003 (4 years)
Disclosure(s)
View By:
6/18/2013
Regulatory
Final
9/28/2011
Customer Dispute
Award / Judgment
3/25/2010
Regulatory
Final
3/7/2008
Customer Dispute
Award / Judgment
Previous Registration(s)
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 11/14/2007 - 05/13/2009 PAULSON INVESTMENT COMPANY, INC. (CRD#:5670) BOUNTIFUL, UT
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 01/27/2003 - 11/16/2007 INVESTMENT MANAGEMENT CORPORATION (CRD#:37196) BOUNTIFUL, UT
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 10/01/1998 - 01/09/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SALT LAKE CITY, UT
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.