Alan I. Schreiber
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 Ira Schreiber was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 6 firms and has passed the Series 65, Series 63, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2001 - October 1, 2001
EISNER SECURITIES, INC.
November 17, 1989 - August 25, 2000
CITIGROUP GLOBAL MARKETS INC.
October 30, 1989 - November 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 1989 - November 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
July 13, 1987 - January 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 16, 1984 - August 6, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 1983 - October 25, 1984
PRUDENTIAL EQUITY GROUP, LLC
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: 4/10/1984
Foreign Currency Options ExaminationCurrent Firm
EISNER SECURITIES, INC.
CRD#: 40585 / SEC#: , 8-49084
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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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