Alois S. Jurcik
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.
Alois Soban Jurcik, who also goes by Al Jurcik, was a registered financial professional .
Alois is a previously registered financial professional and started their career in finance in 1985. Alois had worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 14, Series 53 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
May 5, 2011 - June 5, 2023
STORMHARBOUR SECURITIES LP
September 10, 2007 - November 1, 2010
SUMMIT SECURITIES GROUP LLC
August 24, 1999 - September 16, 2002
CITIGROUP GLOBAL MARKETS INC.
September 30, 1991 - January 29, 1999
DKB SECURITIES (USA) CORPORATION
June 6, 1989 - September 6, 1991
REINOSO & COMPANY, INCORPORATED
May 23, 1985 - March 14, 1989
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
STORMHARBOUR SECURITIES LP
CRD#: 35997 / SEC#: , 8-46999
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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