Alan A. Rubenfeld
Professional summary
Alan Arnowitz Rubenfeld, who also goes by Alan Rubenfeld, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1994. Alan has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Arnowitz Rubenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2024 - Present
DWS DISTRIBUTORS, INC.
Office #1: 875 Third Avenue, New York, NY 10022October 26, 2016 - June 3, 2020
QUASAR DISTRIBUTORS, LLC
November 24, 2015 - October 20, 2016
FORESIDE FUND SERVICES, LLC
September 13, 2014 - October 19, 2015
FINANCIAL PRODUCTS, LLC
January 6, 2012 - October 10, 2013
FORESIDE FUND SERVICES, LLC
July 14, 2009 - September 21, 2011
UBS SECURITIES LLC
June 11, 2007 - February 5, 2009
BNP PARIBAS SECURITIES CORP.
March 24, 1998 - April 3, 2007
DEUTSCHE BANK SECURITIES INC.
March 2, 1998 - March 24, 1998
DEUTSCHE BANK SECURITIES INC.
February 18, 1997 - March 2, 1998
NATWEST SECURITIES CORPORATION
March 24, 1994 - December 3, 1996
VIRTU ITG 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 7TO
Date: 2/9/2024
General Securities Representative ExaminationSeries 55
Date: 12/21/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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