Alan H. Gold
Professional summary
Alan Howard Gold 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 advisor and started their career in finance in 1983. Prior to being barred, Alan had worked at 6 firms, which includes INVEST FINANCIAL CORPORATION, D.R. DWYER & COMPANY, BLUNT ELLIS & LOEWI INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BIRKELBACH INVESTMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2002 - September 14, 2007
INVEST FINANCIAL CORPORATION
November 14, 1989 - September 14, 2007
INVEST FINANCIAL CORPORATION
April 5, 1989 - August 7, 1989
D.R. DWYER & COMPANY
July 1, 1988 - September 6, 1988
BLUNT ELLIS & LOEWI INCORPORATED
August 7, 1986 - August 8, 1988
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1983 - October 8, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1983 - October 17, 1983
BIRKELBACH INVESTMENT SECURITIES, 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
Series 2
Date: 11/9/1982
Non-Member General Securities ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
Red Flags
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