Alan M. Santosbuch
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 Mark Santosbuch was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1986. Alan had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 1996 - September 12, 1996
PHILLIP LOUIS TRADING, INC.
September 18, 1992 - November 28, 1994
ALEX. BROWN & SONS INCORPORATED
September 12, 1988 - October 4, 1990
HAMBRECHT & QUIST LLC
August 21, 1986 - September 22, 1988
LEHMAN BROTHERS 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
PHILLIP LOUIS TRADING, INC.
CRD#: 19378 / SEC#: , 8-37365
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
