Alan S. Benet
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 Stuart Benet was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1970. Alan had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1981 - November 12, 1992
GARY GOLDBERG & CO., INC.
October 20, 1980 - March 26, 2012
EQUITABLE ADVISORS, LLC
January 13, 1970 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 1
Date: 1/19/1970
Registered Representative ExaminationCurrent Firm
GARY GOLDBERG & CO., INC.
CRD#: 6482 / SEC#: , 8-17550
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
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.
