Alan R. Krugman
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 Robert Krugman 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, SIE, Series 55, Series 7 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
June 25, 2014 - February 10, 2017
NATIONAL FINANCIAL SERVICES LLC
March 22, 2013 - May 28, 2014
PRUCO SECURITIES, LLC.
February 1, 2001 - September 22, 2011
MURIEL SIEBERT & CO., LLC
April 19, 2000 - January 24, 2001
ELECTRONIC TRADING GROUP, LLC
January 25, 1999 - May 9, 2000
ON-SITE TRADING, INC.
August 17, 1998 - September 2, 1998
ON-SITE TRADING, INC.
May 22, 1997 - August 3, 1998
TRADE-WELL DISCOUNT INVESTING, LLC.
October 23, 1996 - August 3, 1998
TRADE-WELL DISCOUNT INVESTING, LLC.
May 17, 1995 - October 9, 1996
NEBRASKA HUDSON COMPANY, INC.
March 12, 1986 - January 23, 1995
TD AMERITRADE, INC.
December 18, 1984 - April 26, 1985
BLINDER, ROBINSON & CO., 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
Series 55
Date: 9/27/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 5/1/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
