Albert L. Perry
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.
Albert Louis Perry, who also goes by A L Perry, Al Perry, Albert Louis (jr) Perry, Albert Perry, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1988. Albert had worked at 18 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
August 6, 2012 - November 13, 2012
NDX TRADING, INC.
August 5, 2010 - December 31, 2010
VARIABLE INVESTMENT ASSOCIATES, INC.
June 12, 2009 - August 10, 2010
ALLSTATE FINANCIAL ADVISORS, LLC
September 17, 2008 - August 5, 2010
ALLSTATE FINANCIAL SERVICES, LLC
October 30, 2006 - September 2, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
June 14, 2005 - July 11, 2006
CINCINNATI ANALYSTS, INC.
May 16, 2005 - July 11, 2006
CINCINNATI ANALYSTS, INC.
February 25, 2004 - May 13, 2005
NYLIFE SECURITIES LLC
November 4, 2002 - June 30, 2003
VOYA FINANCIAL ADVISORS, INC.
August 2, 2002 - October 22, 2002
EQUITABLE ADVISORS, LLC
September 20, 2001 - October 22, 2002
EQUITABLE ADVISORS, LLC
March 3, 2000 - August 31, 2001
NEXT FINANCIAL GROUP, INC.
May 22, 1998 - March 3, 2000
VOYA FINANCIAL ADVISORS, INC.
July 10, 1997 - June 2, 1998
FFP SECURITIES, INC.
March 25, 1997 - July 1, 1997
UNITED HERITAGE FINANCIAL SERVICES, INC.
November 28, 1994 - December 16, 1996
1717 CAPITAL MANAGEMENT COMPANY
December 11, 1992 - August 9, 1994
OSAIC FA, INC.
December 11, 1992 - December 12, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 1, 1992 - December 14, 1992
AMERICAN GENERAL SECURITIES INCORPORATED
November 8, 1988 - March 17, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 8, 1988 - March 17, 1992
PRUCO 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
NDX TRADING, INC.
CRD#: 39940 / SEC#: , 8-48905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NDX HOLDINGS, INC. | SHAREHOLDER | |
| THOMPSON, CHAD MICHAEL | PRESIDENT/CEO/FINOP/CCO/MUNICIPAL SECURITIES PRINCIPAL | 4116364 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
