Alan A. Saretsky
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 Arthur Saretsky, who also goes by Alan A Saretsky, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 9 firms and has passed the 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
December 17, 1992 - January 22, 1993
BEACON SECURITIES, INC.
June 12, 1992 - July 14, 1992
FIRST ASSET MANAGEMENT, INC.
July 3, 1991 - February 19, 1992
GKN SECURITIES CORP.
December 11, 1990 - May 9, 1991
COMMONWEALTH ASSOCIATES
March 5, 1990 - December 17, 1990
GLOBAL AMERICA INCORPORATED
March 30, 1989 - February 20, 1990
J. T. MORAN & CO., INC.
July 27, 1988 - April 7, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1984 - May 25, 1988
LEHMAN BROTHERS INC.
July 26, 1984 - August 30, 1984
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
BEACON SECURITIES, INC.
CRD#: 15300 / SEC#: , 8-32394
Contact information
Documents
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.
