Alan L. Siemens
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 Lawrence Siemens was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 11 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 1999 - March 16, 2000
LH ROSS & COMPANY, INC.
September 11, 1998 - November 19, 1998
TRADEWAY SECURITIES GROUP, INC.
October 14, 1994 - July 30, 1998
BILTMORE SECURITIES, INC.
March 15, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
September 4, 1992 - February 23, 1994
GRUNTAL & CO., L.L.C.
April 24, 1990 - August 18, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 2, 1990 - May 22, 1990
PRESCOTT, BALL & TURBEN, INC.
December 14, 1988 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
January 26, 1987 - December 23, 1988
UBS FINANCIAL SERVICES INC.
October 1, 1984 - February 2, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
June 20, 1984 - October 17, 1984
THE STUART-JAMES COMPANY, 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 5
Date: 10/24/1984
Interest Rate Options ExaminationCurrent Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
