Albert E. Cahlan
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.
Albert Edmunds Cahlan II, who also goes by Albert Edmunds Cahlan, Mike Cahlan II, Mike Cahlan, was a registered financial advisor .
Albert is a previously registered financial advisor and started their career in finance in 1984. Albert had worked at 11 firms and has passed the Series 65, Series 63 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 11, 2002 - August 1, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 31, 2000 - August 1, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 30, 2000 - August 29, 2000
MORGAN STANLEY DW INC.
February 25, 1999 - March 1, 2000
WELLS FARGO SECURITIES INC.
January 1, 1998 - March 6, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 20, 1995 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
February 18, 1993 - January 20, 1995
U.S. BANCORP SECURITIES
February 20, 1991 - February 17, 1993
ESSEX NATIONAL SECURITIES, LLC
March 6, 1989 - February 12, 1991
PFS INVESTMENTS INC.
April 9, 1987 - June 12, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 1984 - March 29, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1984 - March 30, 1984
UBS FINANCIAL SERVICES 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
