Alan B. Harp
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 Bennett Harp was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1968. Alan had worked at 9 firms and has passed the Series 63, Series 1 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 25, 2003 - November 8, 2005
BROOKSTREET SECURITIES CORPORATION
March 21, 1998 - November 1, 2002
DIRKS & COMPANY, INC.
August 2, 1996 - December 31, 1997
NATIONAL SECURITIES CORPORATION
November 16, 1994 - January 23, 1995
ACCESS SECURITIES, LLC
May 9, 1990 - January 23, 1995
ACCESS SECURITIES, LLC
December 14, 1982 - March 19, 1988
ACUMENT SECURITIES, INC.
August 24, 1979 - October 20, 1981
JOHN MUIR & CO.
February 22, 1978 - August 30, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 19, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
August 9, 1968 - April 11, 1976
ROTAN MOSLE 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: 8/7/1968
Registered Representative ExaminationSeries 40
Date: 9/22/1972
Registered Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
