Alan L. Jacobs
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 Lawrence Jacobs was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 14 firms and has passed the Series 63, SIE 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
September 17, 2014 - February 1, 2016
VIEWTRADE SECURITIES, INC.
January 17, 2013 - April 12, 2013
BURNHAM SECURITIES INC.
April 15, 2011 - January 17, 2013
MEDITERRANEAN SECURITIES GROUP, LLC
August 6, 2009 - April 27, 2011
FORGE FINANCIAL GROUP, INC.
March 3, 2008 - November 5, 2008
DAWSON JAMES SECURITIES, INC.
May 10, 2001 - July 6, 2001
DALTON KENT SECURITIES GROUP, INC.
March 23, 2000 - August 6, 2001
CERIDIAN BROKER DEALER, INC.
October 21, 1996 - February 29, 2008
CAPITAL GROWTH FINANCIAL, LLC
February 22, 1996 - June 14, 2001
EMERSON BENNETT & ASSOCIATES
March 20, 1995 - January 25, 1996
EARLYBIRDCAPITAL, INC.
January 15, 1992 - January 30, 1996
JOSEPHTHAL & CO., INC.
June 6, 1985 - December 31, 1991
LADENBURG THALMANN & CO. INC.
May 8, 1984 - June 28, 1985
MONITOR SERVICES, INC.
April 19, 1982 - May 22, 1985
M.S. ETHEREDGE & CO., INC.
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
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
Red Flags
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