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AS

Alan L. Shankman

WILSON-DAVIS & CO.
Salt Lake City, UT 84101-2104
Some features on this profile are disabled
CRD#: 1979085
AS

Professional summary

Alan Louis Shankman is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1989. Alan has worked at 15 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alan Louis Shankman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 19, 2017 - Present

WILSON-DAVIS & CO., INC.

Office #1: 236 South Main Street, Salt Lake City, UT 84101-2104
BD
CRD#: 3777
Salt Lake City, UT
Past

January 3, 2017 - May 18, 2017

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

September 29, 2015 - December 9, 2016

ACAP FINANCIAL INC.

BD
CRD#: 7731
SALT LAKE CITY, UT
Past

January 6, 2012 - September 25, 2015

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

June 10, 2011 - January 5, 2012

BMA SECURITIES, LLC

BD
CRD#: 108219
EL SEGUNDO, CA
Past

December 3, 2010 - June 8, 2011

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
BOCA RATON, FL
Past

July 3, 2007 - December 31, 2008

WEDBUSH SECURITIES INC.

BD
CRD#: 877
WELLINGTON, FL
Past

August 25, 2006 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
WEST PALM BEACH, FL
Past

January 31, 2003 - August 25, 2004

MATRIX U.S.A., LLC

BD
CRD#: 38057
NEW YORK, NY
Past

December 16, 1998 - May 3, 2002

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

March 11, 1998 - December 16, 1998

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

May 12, 1997 - March 15, 1998

HAMPSHIRE SECURITIES CORPORATION

BD
CRD#: 19725
NEW YORK, NY
Past

June 21, 1996 - April 30, 1997

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 17, 1995 - June 14, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 12, 1992 - May 5, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 25, 1989 - June 24, 1992

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/19/2017)
RR
California
(5/19/2017)
RR
Colorado
(5/19/2017)
RR
Connecticut
(5/11/2018)
RR
Florida
(5/19/2017)
RR
Georgia
(2/6/2018)
RR
Illinois
(5/19/2017)
RR
Iowa
(10/14/2025)
RR
Louisiana
(4/11/2022)
RR
Massachusetts
(9/6/2018)
RR
Michigan
(5/19/2017)
RR
Missouri
(7/28/2017)
RR
Nevada
(5/19/2017)
RR
New Jersey
(5/19/2017)
RR
New York
(5/19/2017)
RR
Tennessee
(8/25/2025)
RR
Texas
(5/19/2017)
RR
Utah
(5/22/2017)
RR
Vermont
(2/4/2025)
RR
Washington
(4/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/9/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/20/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

W&
WILSON-DAVIS & CO., INC.
WILSON-DAVIS & CO., INC.

CRD#: 3777 / SEC#: , 8-14299

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
236 South Main Street, Salt Lake City, UT 84101-2104
Mailing Address
P.o. Box 11587, Salt Lake City, UT 84147-0587
Phone number
(801) 532-1313
Established
Utah since 11/12/1968
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATLASCLEAR HOLDINGS, INC.OWNER
EGGERTZ, LINCOLN TYLERCHIEF COMPLIANCE OFFICER | CHIEF AML COMPLIANCE OFFICER7336125
LOSSER, JANA MARIEPRINCIPAL OPERATIONS OFFICER4562682
SIME, JEFFREY NORMANPRINCIPAL FINANCIAL OFFICER1554798
SIME, JEFFREY NORMANCEO1554798

Disclosures

Regulatory Event57
Arbitration1

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.

Company Information

WILSON-DAVIS & CO., INC.

CRD#: 3777Salt Lake City, UT 84101-2104

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