Brian J. Alton
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.
Brian Jeffrey Alton was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1995. Brian had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2001 - October 24, 2001
AMERICA FIRST ASSOCIATES CORP.
June 26, 1995 - February 15, 2001
KIRLIN SECURITIES INC.
February 22, 1995 - June 27, 1995
IDS LIFE INSURANCE COMPANY
February 22, 1995 - June 27, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
AMERICA FIRST ASSOCIATES CORP.
CRD#: 38245 / SEC#: , 8-48131
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICUPERO, JOSEPH | CEO, SECRETARY, DIRECTOR,FINOP, GEN PRINCIPAL, SHAREHOLDER | 1457028 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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