Alan D. Biller
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 David Biller was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 5 firms and has passed the Series 2 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1995 - December 31, 2023
ALAN BILLER AND ASSOCIATES
November 17, 1987 - December 15, 1988
SOUTHWESTERN EQUITIES
October 24, 1986 - June 15, 1987
DAKIN SECURITIES CORPORATION
August 22, 1984 - July 24, 1986
BMI FINANCIAL GROUP
February 29, 1984 - June 29, 1987
BROWN, BROSCHE SECURITIES, INC.
Primary Firm SEC Registration
ALAN BILLER AND ASSOCIATES
CRD#: 105283 / SEC#: 801-48432
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: 4/13/1995
Non-Member General Securities ExaminationCurrent Firm
ALAN BILLER AND ASSOCIATES
CRD#: 105283 / SEC#: 801-48432
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 59,353,683,024 |
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.
