Albert A. Fagan
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 Avery Fagan III, who also goes by Albert Avery Fagan, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1969. Albert had worked at 10 firms and has passed the Series 63, Series 3, Series 15, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2007 - November 18, 2009
PETERSEN INVESTMENTS, INC.
September 8, 2006 - May 31, 2007
WINSLOW, EVANS & CROCKER, INC.
May 31, 2006 - September 8, 2006
BISHOP, ROSEN & CO., INC.
June 24, 2004 - May 1, 2006
JESUP & LAMONT SECURITIES CORP
October 22, 2002 - June 24, 2004
MOORS & CABOT, INC.
August 5, 2000 - June 26, 2002
A. G. EDWARDS & SONS, INC.
February 11, 1988 - August 18, 2000
GRUNTAL & CO., L.L.C.
July 5, 1977 - February 20, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 11, 1976 - August 13, 1977
SHIELDS MODEL ROLAND INCORPORATED
December 22, 1969 - December 24, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 15
Date: 5/28/1984
Foreign Currency Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/17/1969
Registered Representative ExaminationSeries 40
Date: 3/25/1978
Registered Principal ExaminationSeries 12
Date: 1/3/1977
NYSE Branch Manager ExaminationCurrent Firm
PETERSEN INVESTMENTS, INC.
CRD#: 38537 / SEC#: , 8-48306
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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