Alan B. Gelband
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.
Alan Bruce Gelband was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1969. Alan had worked at 11 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 22, Series 1, Series 14, Series 24, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2004 - January 28, 2005
BROADBAND CAPITAL MANAGEMENT, LLC
September 22, 1993 - December 15, 2023
GELBAND & CO., INC.
March 1, 1990 - October 16, 1991
G-V CAPITAL CORP.
May 10, 1988 - June 10, 1988
GLOBAL CAPITAL SECURITIES, INC.
January 30, 1985 - May 20, 1986
GLOBAL CAPITAL SECURITIES, INC.
July 30, 1984 - March 17, 1987
INMARK SECURITIES CORP.
December 18, 1979 - July 30, 1980
LEHMAN BROTHERS INC.
December 12, 1978 - February 10, 1979
CIBC WORLD MARKETS CORP.
February 8, 1977 - January 21, 1980
ALAN GELBAND AND COMPANY
August 18, 1975 - February 3, 1977
MF GLOBAL INC.
January 18, 1975 - September 18, 1975
SF INVESTMENTS, INC.
April 28, 1969 - September 25, 1971
ASHTON YOUNG, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 11/9/1967
Registered Representative ExaminationF04
Date: 9/24/1976
Financial Principal ExaminationSeries 40
Date: 9/17/1976
Registered Principal ExaminationCurrent Firm
BROADBAND CAPITAL MANAGEMENT, LLC
CRD#: 48001 / SEC#: , 8-51992
Contact information
Documents
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.
