Alan Bruce Gelband
Professional Summary
Alan Bruce Gelband was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1969 - 2005. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
BROADBAND CAPITAL MANAGEMENT, LLC
Contact Information
Established
New York since 03/29/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Jul 1984About the Series 22 examSeries 1 — Registered Representative Examination
Passed Nov 1967F04 — Financial Principal Examination
Passed Sep 1976Series 40 — Registered Principal Examination
Passed Sep 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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