Alan J. Davidofsky
Professional summary
Alan Jay Davidofsky was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alan is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Alan had worked at 11 firms, which includes LAMPERT CAPITAL MARKETS INC., NATIONAL SECURITIES CORPORATION, OPPENHEIMER & CO. INC., WELLS FARGO CLEARING SERVICES LLC, FIRST UNION CAPITAL MARKETS CORP., GRUNTAL & CO. L.L.C., FINANCIAL SQUARE PARTNERS, LEHMAN BROTHERS INC., D. H. BLAIR & CO. INC., CIBC WORLD MARKETS CORP., ROONEY PACE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - March 1, 2011
LAMPERT CAPITAL MARKETS INC.
November 20, 2008 - July 23, 2010
NATIONAL SECURITIES CORPORATION
November 22, 2004 - November 26, 2008
OPPENHEIMER & CO. INC.
October 1, 1999 - November 30, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 12, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 25, 1994 - May 12, 1999
GRUNTAL & CO., L.L.C.
January 24, 1992 - April 19, 1994
FINANCIAL SQUARE PARTNERS
September 10, 1990 - December 5, 1991
LEHMAN BROTHERS INC.
February 7, 1990 - September 10, 1990
D. H. BLAIR & CO., INC.
June 8, 1988 - February 14, 1990
GRUNTAL & CO., L.L.C.
December 16, 1986 - June 9, 1988
CIBC WORLD MARKETS CORP.
November 19, 1985 - December 26, 1986
ROONEY, PACE 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
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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