Raz Alon
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.
Raz Alon was a registered financial professional .
Raz is a previously registered financial professional and started their career in finance in 1991. Raz had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 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
September 17, 2013 - April 14, 2015
INTE SECURITIES LLC
October 30, 1998 - April 11, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1996 - June 26, 1998
COWEN AND COMPANY
September 18, 1991 - June 11, 1996
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTE SECURITIES LLC
CRD#: 47107 / SEC#: , 8-51667
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 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.
