Albert L. Firestein
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 Leroy Firestein was a registered financial advisor .
Albert is a previously registered financial advisor and started their career in finance in 1971. Albert had worked at 10 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2001 - September 16, 2009
CFD INVESTMENTS, INC.
February 10, 2000 - September 16, 2009
CREATIVE FINANCIAL DESIGNS, INC.
October 3, 1995 - January 16, 2001
SPECTRUM INVESTMENT SERVICES, INC.
March 23, 1993 - January 16, 1995
CAPITAL BROKERAGE CORPORATION
January 1, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 1, 1988 - March 29, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 1, 1988 - March 29, 1993
OSAIC FA, INC.
December 11, 1981 - January 15, 1988
E. F. HUTTON & COMPANY INC
September 26, 1978 - December 23, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 000
Date: 12/1/1971
General Securities Principal ExaminationSeries 1
Date: 12/1/1971
Registered Representative ExaminationCurrent Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 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.
