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AL

Alan F. Lipman

Some features on this profile are disabled
CRD#: 1013845
AL

Professional summary

Alan Fredric Lipman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alan is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Alan had worked at 5 firms, which includes FASCO INTERNATIONAL INC., ACUMENT SECURITIES INC., BOUCHER OEHMKE & COMPANY, THE INVESTMENT CENTER INC., RAUSCHER PIERCE REFSNES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 3, 1998 - October 30, 1998

FASCO INTERNATIONAL, INC.

BD
CRD#: 31009
WALNUT, CA
Past

August 17, 1990 - January 30, 1998

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

January 26, 1990 - August 7, 1990

BOUCHER, OEHMKE & COMPANY

BD
CRD#: 17470
Past

July 6, 1988 - January 24, 1990

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

January 27, 1988 - July 14, 1988

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
Past

October 31, 1981 - February 10, 1988

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/1992
General Securities Principal Examination

Current Firm

FI
FASCO INTERNATIONAL, INC.
FASCO INTERNATIONAL, INC.

CRD#: 31009 / SEC#: , 8-46150

BD
Terminated by SEC on 12/18/2005
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 10/15/1992
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FASCO HOLDINGS INVESTMENT LLCSHAREHOLDER
CHEN, CHARNGYICFO/PRESIDENT/DIRECTOR2219606
WEI, HORNGJYHSHAREHOLDER2258538
LIN, YUH LINSHAREHOLDER2514206
LIU, JENSHAREHOLDER2298829
MOREHEAD, DONNA ELAINESHAREHOLDER2689970
MOREHEAD, MARK MICHAELSHAREHOLDER1228958
YAUNG, ALEXDIRECTOR2817020

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.

Company Information

FASCO INTERNATIONAL, INC.

CRD#: 31009

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