Alan P. Hans
Professional summary
Alan Paul Hans SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alan is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Alan had worked at 7 firms, which includes FIRST COLONIAL SECURITIES, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., LOEB PARTNERS, BEVILL BRESLER & SCHULMAN INCORPORATED, D. H. WALLACH INC., RENNEISEN RENNEISEN AND REDFIELD INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1990 - August 18, 2000
FIRST COLONIAL SECURITIES
November 5, 1980 - November 20, 1990
CITIGROUP GLOBAL MARKETS INC.
November 26, 1979 - November 19, 1983
LEHMAN BROTHERS INC.
June 2, 1978 - November 26, 1979
LOEB PARTNERS
January 3, 1978 - June 4, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
June 25, 1974 - April 24, 1975
D. H. WALLACH, INC.
March 26, 1969 - July 30, 1974
RENNEISEN, RENNEISEN AND REDFIELD, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 3/24/1981
AMEX Put and Call ExamSeries 1
Date: 5/26/1961
Registered Representative ExaminationCurrent Firm
FIRST COLONIAL SECURITIES
CRD#: 25121 / SEC#: , 8-41587
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL DIRECT FINANCIAL GROUP, INC. | HOLDING CORPORATION | |
| AXELROD, IRWIN | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 9180 |
| CAMPANELLA, RICHARD ANTHONY | COO AND BOCA RATON BRANCH MANAGER | |
| GALTERIO, RICHARD LOUIS | BRANCH MANAGER-NEW YORK | 1466226 |
| MARTIN, JEFFREY STEVEN | MUNICIPAL PRINCIPAL | 321321 |
| MIRMAN, ALVIN SAUL | DIRECTOR OF RESEARCH | |
| MIRMAN, ALVIN SAUL | FINANCIAL AND OPERATIONS PRINCIPAL | |
| MOSS, MICHAEL EARL | DIRECTOR | 601445 |
| SIEGEL, MARC NEIL | PRESIDENT & CEO | 1449845 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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