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AS

Alan B. Schlussel

Some features on this profile are disabled
CRD#: 1059381
AS

Professional summary

Alan Bruce Schlussel was barred by the SEC 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 1982. Prior to being barred, Alan had worked at 5 firms, which includes FIRST MONTAUK SECURITIES CORP., LADENBURG THALMANN & CO. INC., UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., DREXEL BURNHAM LAMBERT INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan B Schlussel | Alan Schlussel

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

December 7, 1995 - December 9, 1999

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

January 6, 1994 - November 17, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

February 29, 1992 - December 15, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

February 28, 1992 - December 15, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 22, 1989 - February 21, 1992

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 24, 1982 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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: 8/3/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 9/24/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/1996
General Securities Principal Examination

Current Firm

FM
FIRST MONTAUK SECURITIES CORP.
ADVANCED INVESTMENT | WEALTH MANAGEMENT DESIGN | WASHINGTON ASSET MANAGEMENT | VENTURE WEALTH MANAGEMENT | VC MANAGEMENT | UNION ADVANTAGE FINANCIAL | THE LARAWAY FINANCIAL GROUP | THE CARDINAL HILL GROUP | SHARMA CAPITAL | SCHREIBER INVESTMENT COMPANY | ROME CAPITAL MANAGEMENT | QUIGLEY TAX ADVISORY GROUP | PHG ASSET MANAGEMENT & DEVELOPMENT | PERSONAL INVESTMENT CENTERS | MONTAUK FINANCIAL GROUP | MOFIELD & ASSOC. | MILLER AND CHRISTIAN ASSET MANAGEMENT | MFG/BOGGS,BUSTAMANTE,BELMONTE FINANCIAL GROUP | MCM CONSULTING & MANAGEMENT SERFICES | LYL INVESTMENTS | KAROON CAPITAL MANAGEMENT | INVESTMENT ASSET MANAGEMENT | HUNT ASSET MANAGEMENT | HORIZON WEALTH SOLUTIONS | HAMPTON CAPITAL MANAGEMENT | GROTJAHN CAPITAL MANAGEMENT | FORTRESS WEALTH MANAGEMENT | FIRST MONTAUK SECURITIES CORP. | EVYAVAN ADVISORY SERVICES | CENTURY DISCOUNT INVESTMENTS | CAPITAL ESTATE ADVISORS | C & B FINANCIAL SVCS. | BUSINESS AND FINANCIAL SERVICES | BURTON CAPITAL STRATEGIES GROUP | BURNS ASSET MANAGEMENT | BONIELLO CAPITAL MANAGEMENT | BERRY ASSET MANAGEMENT | BELLI MONACO | BAUGHMAN FINANCIAL GROUP | BARRETT HAYNES FINANCIAL GROUP | BARREIRO AND ASSOCIATES | B & G CAPITAL MANAGEMENT | ASSET MANAGEMENT CONSULTANT | AMERICAN CAPITAL MANAGEMENT

CRD#: 13755 / SEC#: , 8-29748

BD
Terminated by SEC on 02/21/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/11/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST MONTAUK FINANCIAL CORP.CORPORATE PARENT AND SOLE STOCKHOLDER
HOROWITZ, MINDY ANNCHIEF FINANCIAL OFFICER/FINOP3036744
KURYLAK, VICTOR KEVINPRESIDENT, CHIEF EXECUTIVE OFFICER1664534
LEONARD, CELESTE MARIECHIEF COMPLIANCE OFFICER1258535

Disclosures

Regulatory Event25
Arbitration28
Bond5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

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