Alan J. Mah
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 Jay Mah, who also goes by Alan Mah, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2004. Alan had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2013 - June 3, 2019
ARBOR RESEARCH & TRADING, LLC
October 8, 2009 - October 16, 2013
STERNE, AGEE & LEACH, INC.
April 26, 2005 - November 24, 2006
RBC CAPITAL MARKETS CORPORATION
August 3, 2004 - April 28, 2005
RBC CAPITAL MARKETS, 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
Series 2
Date: 6/14/1989
Non-Member General Securities ExaminationCurrent Firm
ARBOR RESEARCH & TRADING, LLC
CRD#: 21313 / SEC#: , 8-38818
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
Disclosures
| Regulatory Event | 2 |
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.
