Alison A. Deans
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.
Alison Ann Deans, who also goes by Allison A Deans, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 1986. Alison had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
September 15, 2014 - April 9, 2015
CRT CAPITAL GROUP LLC
February 27, 2009 - July 8, 2009
NEUBERGER BERMAN MANAGEMENT LLC
November 28, 2006 - July 8, 2009
NEUBERGER BERMAN BD LLC
March 9, 2004 - November 8, 2006
LEHMAN BROTHERS INC.
December 13, 2001 - June 18, 2003
BANC ONE CAPITAL MARKETS, INC.
January 25, 1999 - February 25, 2000
CITIGROUP GLOBAL MARKETS INC.
May 1, 1997 - October 1, 1998
WATERMARK SECURITIES, INC.
May 19, 1992 - March 27, 1997
CITIGROUP GLOBAL MARKETS INC.
March 19, 1986 - August 11, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
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.
