Alfred Menis
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.
Alfred Menis, who also goes by Fred Menis, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1992. Alfred had worked at 7 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 53 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
April 3, 2017 - April 17, 2024
STATE STREET GLOBAL MARKETS, LLC
June 20, 1996 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
February 16, 1996 - June 11, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
November 3, 1993 - February 16, 1996
FIDELITY BROKERAGE SERVICES LLC
April 17, 1993 - May 20, 1993
IFMG SECURITIES, INC.
April 14, 1992 - October 26, 1992
LEHMAN BROTHERS INC.
January 29, 1992 - March 19, 1992
J. W. GANT & ASSOCIATES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852 / SEC#: , 8-69862
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MARZILIANO, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1527133 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
