Jerald F. Albin
Professional summary
Jerald Fred Albin was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerald is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Jerald had worked at 11 firms, which includes SUNPOINT SECURITIES INC., WALNUT STREET SECURITIES INC., PRIME INVESTORS INC., HANOVER INVESTMENT SECURITIES INC., CADARET GRANT & CO. INC., TITAN/VALUE EQUITIES GROUP INC., INTEGRATED RESOURCES EQUITY CORPORATION, G. R. PHELPS & CO. INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., LINSCO FINANCIAL GROUP INC., CNA INVESTOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1996 - July 15, 1997
SUNPOINT SECURITIES, INC.
June 28, 1993 - December 31, 1994
SUNPOINT SECURITIES, INC.
May 8, 1992 - June 18, 1993
WALNUT STREET SECURITIES, INC.
March 13, 1991 - March 6, 1992
WALNUT STREET SECURITIES, INC.
September 25, 1989 - December 21, 1990
PRIME INVESTORS, INC.
January 4, 1989 - September 13, 1989
HANOVER INVESTMENT SECURITIES, INC.
July 30, 1987 - December 31, 1988
CADARET, GRANT & CO., INC.
May 19, 1986 - April 28, 1987
TITAN/VALUE EQUITIES GROUP, INC.
December 11, 1981 - June 12, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
May 1, 1978 - December 8, 1981
G. R. PHELPS & CO., INC.
September 30, 1977 - May 1, 1978
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 9, 1971 - December 4, 1975
LINSCO FINANCIAL GROUP, INC.
March 18, 1970 - October 13, 1971
CNA INVESTOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/13/1970
Registered Representative ExaminationCurrent Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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