Alan B. Zuckerman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Budd Zuckerman, who also goes by Alan Bud Zuckerman, Budd Zuckerman, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1981. Alan had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2002 - October 8, 2019
AGA SECURITIES, LLC
July 27, 1999 - June 13, 2001
SCHNEIDER SECURITIES, INC.
May 23, 1995 - July 14, 1998
ROTH CAPITAL PARTNERS, LLC
October 4, 1991 - May 17, 1995
HANIFEN, IMHOFF INC.
May 10, 1989 - October 24, 1991
SUTRO & CO. INCORPORATED
September 10, 1986 - May 3, 1988
WEDBUSH SECURITIES INC.
October 28, 1985 - September 22, 1986
MCKEWON & TIMMINS
August 5, 1983 - October 15, 1985
SUTRO & CO. INCORPORATED
October 1, 1981 - August 16, 1983
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AGA SECURITIES, LLC
CRD#: 122781 / SEC#: , 8-65531
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
