Alan M. Habacht
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 Marc Habacht, who also goes by Alan M. Habacht, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1988. Alan had worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2009 - December 31, 2017
LOOP CAPITAL ASSET MANAGEMENT
February 17, 1988 - February 19, 2009
TAPLIN CANIDA & HABACHT INC
Primary Firm SEC Registration
LOOP CAPITAL ASSET MANAGEMENT
CRD#: 149280 / SEC#: 801-69873
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 2
Date: 6/29/1988
Non-Member General Securities ExaminationCurrent Firm
LOOP CAPITAL ASSET MANAGEMENT
CRD#: 149280 / SEC#: 801-69873
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 9,850,211,508 |
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.
