Alfred G. Block
Professional summary
Alfred Gerald Block was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alfred is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Alfred had worked at 6 firms, which includes BUCKMAN BUCKMAN & REID INC., VIEWTRADE SECURITIES INC., VIEWTRADE FINANCIAL, BARRON CHASE SECURITIES INC., FIRST MONTAUK SECURITIES CORP., MARSH BLOCK & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2017 - January 2, 2026
BUCKMAN, BUCKMAN & REID, INC.
October 13, 2005 - June 29, 2016
VIEWTRADE SECURITIES, INC.
December 17, 2003 - December 21, 2005
VIEWTRADE FINANCIAL
November 16, 2000 - December 31, 2003
VIEWTRADE SECURITIES, INC.
January 20, 2000 - November 16, 2000
BARRON CHASE SECURITIES, INC.
July 16, 1997 - April 22, 1998
FIRST MONTAUK SECURITIES CORP.
December 7, 1983 - July 9, 1997
MARSH, BLOCK & 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
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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