Alyce R. Reiner
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.
Alyce Ronni Reiner, who also goes by Alyce Baruch, was a registered financial professional .
Alyce is a previously registered financial professional and started their career in finance in 1981. Alyce had worked at 8 firms and has passed the Series 66, Series 3, Series 15, Series 7, Series 8 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
October 13, 2009 - May 18, 2012
LEERINK PARTNERS LLC
July 10, 2007 - June 9, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 29, 2002 - July 10, 2007
RYAN BECK & CO.
October 22, 1996 - May 13, 2002
GRUNTAL & CO., L.L.C.
March 25, 1993 - October 4, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 25, 1993 - October 4, 1996
EQUITABLE ADVISORS, LLC
June 8, 1990 - February 10, 1993
MORGAN STANLEY DW INC.
December 23, 1981 - May 24, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 15
Date: 5/3/1983
Foreign Currency Options ExaminationSeries 8
Date: 7/29/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEERINK PARTNERS LLC
CRD#: 39011 / SEC#: 801-68264, 8-48535
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
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.
