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AG

Alan S. Gould

Some features on this profile are disabled
CRD#: 1344266
AG

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 Steven Gould, who also goes by Alan Stephen Gould, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1985. Alan had worked at 12 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan Stephen Gould

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 23, 2018 - December 9, 2025

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
NEW YORK, NY
Past

March 21, 2017 - February 16, 2018

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
NEW YORK, NY
Past

June 14, 2016 - February 6, 2017

BREAN CAPITAL, LLC

BD
CRD#: 23723
DARIEN, CT
Past

July 2, 2010 - November 26, 2014

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
New York, NY
Past

December 10, 2009 - June 18, 2010

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

September 13, 2004 - October 30, 2009

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

October 24, 2001 - October 16, 2002

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

February 16, 1998 - July 14, 2000

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

November 9, 1994 - February 6, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

May 11, 1993 - October 6, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

April 3, 1990 - March 9, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 19, 1985 - February 8, 1990

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/1/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 1/11/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 3/16/1985
General Securities Representative Examination

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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.

Company Information

LOOP CAPITAL MARKETS LLC

CRD#: 43098

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