Alan B. Corwin
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 Bruce Corwin, who also goes by Buck Corwin, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1987. Alan had worked at 7 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2000 - July 6, 2004
THE TAVENNER COMPANY
April 5, 2000 - October 17, 2000
USALLIANZ SECURITIES, INC.
May 15, 1996 - July 14, 1998
NATIONAL PLANNING CORPORATION
November 6, 1992 - June 1, 1994
TOWER INVESTMENT GROUP, INC.
January 9, 1991 - November 3, 1992
TITAN/VALUE EQUITIES GROUP, INC.
June 18, 1989 - February 28, 1990
SUNAMERICA SECURITIES, INC.
October 26, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, 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
THE TAVENNER COMPANY
CRD#: 18004 / SEC#: , 8-41206
Contact information
FINRA licenses (24 States and Territories)
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.
