Alan D. Weiner
Professional summary
Alan David Weiner MR. 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 1994. Prior to being barred, Alan had worked at 5 firms, which includes STG SECURE TRADING GROUP INC., A.B. WATLEY INC., ON-SITE TRADING INC., STUART COLEMAN & CO. INC., LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2005 - July 16, 2007
STG SECURE TRADING GROUP, INC.
June 18, 2002 - June 24, 2003
STG SECURE TRADING GROUP, INC.
January 17, 2002 - June 26, 2002
A.B. WATLEY, INC.
June 27, 2001 - October 22, 2001
ON-SITE TRADING, INC.
January 12, 2001 - April 11, 2001
ON-SITE TRADING, INC.
October 28, 1998 - September 13, 1999
ON-SITE TRADING, INC.
June 26, 1997 - August 1, 1997
ON-SITE TRADING, INC.
January 9, 1997 - January 17, 1997
ON-SITE TRADING, INC.
July 3, 1995 - December 19, 1996
STUART, COLEMAN & CO., INC.
October 19, 1994 - March 30, 1995
LCP CAPITAL CORP.
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 55
Date: 5/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
STG SECURE TRADING GROUP, INC.
CRD#: 41216 / SEC#: , 8-49329
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEINER, ALAN DAVID MR. | PRESIDENT | 2537809 |
| SPG OPPORTUNITY FUND LTD | SHAREHOLDER |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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