Alan P. Halpert
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 Phillip Halpert was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1970. Alan had worked at 2 firms and has passed the Series 63, Series 1, 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
April 6, 1976 - December 6, 1996
HALPERT AND COMPANY, INC.
April 16, 1970 - March 3, 1972
HOWARD LAWRENCE & CO., 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 1
Date: 4/9/1970
Registered Representative ExaminationF04
Date: 6/1/1978
Financial Principal ExaminationSeries 40
Date: 7/21/1977
Registered Principal ExaminationCurrent Firm
HALPERT AND COMPANY, INC.
CRD#: 7094 / SEC#: , 8-19391
Contact information
Documents
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.
