Alan J. Sherbin
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 Jay Sherbin, who also goes by Al Sherbin, Alan J Sherbin, was a registered financial advisor .
Alan is a previously registered financial advisor and started their career in finance in 2006. Alan had worked at 3 firms and has passed the Series 65, Series 56, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2011 - May 22, 2012
PEAK6 CAPITAL MANAGEMENT LLC
September 28, 2010 - January 3, 2011
CENACLE CAPITAL MANAGEMENT, LLC
June 21, 2006 - December 20, 2007
IDEAS IN MOTION, 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
Series 56
Date: 8/8/2011
Proprietary Trader Qualification ExaminationCurrent Firm
PEAK6 CAPITAL MANAGEMENT LLC
CRD#: 43773 / SEC#: , 8-50422
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK6 CAPITAL MANAGEMENT HOLDINGS LLC | OWNER | |
| MILCAREK, STEVEN DOUGLAS | PRINCIPAL OPERATIONS OFFICER | 3131320 |
| MULLER, BRIAN JAMES | CHIEF RISK OFFICER | 5875890 |
| PITALE, SUJAI VEERDHAVAL | CHIEF COMPLIANCE OFFICER | 5387442 |
| SIMPSON, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER | 5875785 |
| WARD, JAMES FLANAGAN | FINOP, PRINCIPAL FINANCIAL OFFICER | 6258923 |
Disclosures
| Regulatory Event | 3 |
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.
