Alan M. Lerman
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 Martin Lerman was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1988. Alan had worked at 5 firms and has passed the Series 65, Series 63, Series 22, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2011 - April 7, 2015
BROOKSTONE CAPITAL MANAGEMENT LLC
February 8, 1990 - December 31, 1992
COMMONWEALTH CHURCH FINANCE, INC.
October 30, 1989 - May 24, 1990
CRISPIN KOEHLER SECURITIES
October 17, 1988 - March 5, 1990
AMI SECURITIES, INC.
July 15, 1988 - October 20, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
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 62
Date: 10/14/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
BROOKSTONE CAPITAL MANAGEMENT LLC
CRD#: 141413 / SEC#: 801-68010
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73,650 |
| AUM (Assets Under Management) | $ 10,409,137,908 |
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.
