Alan Kovit
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 Kovit was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 17 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2016 - September 15, 2020
DWS DISTRIBUTORS, INC.
March 30, 2015 - October 1, 2015
RBC CAPITAL MARKETS, LLC
October 14, 2014 - October 1, 2015
RBC CAPITAL MARKETS, LLC
January 3, 2012 - October 28, 2014
DEUTSCHE BANK SECURITIES INC.
February 25, 2011 - January 3, 2012
DB SECURITIES SERVICES NJ INC.
March 5, 2008 - January 19, 2011
INVEST FINANCIAL CORPORATION
January 25, 2008 - January 19, 2011
INVEST FINANCIAL CORPORATION
September 27, 2005 - January 24, 2008
TRUIST INVESTMENT SERVICES, INC.
September 27, 2005 - January 24, 2008
TRUIST INVESTMENT SERVICES, INC.
February 11, 2005 - September 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 14, 2002 - September 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 23, 2001 - May 14, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 21, 1997 - May 9, 2002
RAYMOND JAMES & ASSOCIATES, INC.
November 25, 1996 - January 8, 1997
METROPOLITAN LIFE INSURANCE COMPANY
November 25, 1996 - January 8, 1997
MSI FINANCIAL SERVICES, INC.
September 8, 1995 - September 13, 1996
WMA SECURITIES, INC.
November 30, 1993 - March 2, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 31, 1993 - November 24, 1993
CITIGROUP GLOBAL MARKETS INC.
May 11, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
April 27, 1992 - April 5, 1993
BT BROKERAGE CORPORATION
April 6, 1989 - January 25, 1991
BT BROKERAGE CORPORATION
February 23, 1984 - March 8, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 10/9/2023
General Securities Representative ExaminationSeries 8
Date: 7/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
