Stanley C. Brach
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.
Stanley C Brach, who also goes by Stanley Cyprian Brach, Stanley Brach, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1987. Stanley had worked at 5 firms and has passed the 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
June 5, 2012 - July 28, 2015
KGS-ALPHA CAPITAL MARKETS, L.P.
September 19, 2011 - May 31, 2012
ALLY SECURITIES LLC
July 9, 2010 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
December 8, 2009 - July 26, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1987 - November 23, 2009
J.P. MORGAN SECURITIES LLC
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
KGS-ALPHA CAPITAL MARKETS, L.P.
CRD#: 151705 / SEC#: , 8-68390
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KGS HOLDINGS, L.P. | PARENT | |
| GOLDMAN, DANIEL ALAN | PRESIDENT | 1406528 |
| KAHRAMAN, LEVENT | CEO, HOME OFFICE SUPERVISOR | 2802822 |
| KGS-ALPHA CAPITAL MARKETS GP, LLC | PARENT - GENERAL PARTNER | |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER | 2795963 |
| KRIEGER, FREDERIC MICHAEL | GENERAL COUNSEL, EXECUTIVE REP., AML SUPERVISOR | 2194757 |
| SEERY, ROBERT PATRICK | CFO, FINOP | 862273 |
| SMOLYANSKIY, IGOR | CHIEF ADMINISTRATIVE OFFICER | 5017961 |
Disclosures
| Regulatory Event | 3 |
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.
