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AW

Alan D. Weiner

Some features on this profile are disabled
CRD#: 2537809
AW

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

Are you a "fiduciary"?
No

Aliases

Alan David Weiner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 5, 2005 - July 16, 2007

STG SECURE TRADING GROUP, INC.

BD
CRD#: 41216
BOCA RATON, FL
Past

June 18, 2002 - June 24, 2003

STG SECURE TRADING GROUP, INC.

BD
CRD#: 41216
BOCA RATON, FL
Past

January 17, 2002 - June 26, 2002

A.B. WATLEY, INC.

BD
CRD#: 797
NEW YORK, NY
Past

June 27, 2001 - October 22, 2001

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

January 12, 2001 - April 11, 2001

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

October 28, 1998 - September 13, 1999

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

June 26, 1997 - August 1, 1997

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

January 9, 1997 - January 17, 1997

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

July 3, 1995 - December 19, 1996

STUART, COLEMAN & CO., INC.

BD
CRD#: 8642
NEW YORK, NY
Past

October 19, 1994 - March 30, 1995

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/11/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/18/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2005
General Securities Principal Examination

Current Firm

SS
STG SECURE TRADING GROUP, INC.
BUDNER SECURITIES, INC. | STG SECURE TRADING GROUP, INC. | SECURE FINANCIAL ASSETS GROUP

CRD#: 41216 / SEC#: , 8-49329

BD
Terminated by SEC on 09/15/2007
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 04/29/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WEINER, ALAN DAVID MR.PRESIDENT2537809
SPG OPPORTUNITY FUND LTDSHAREHOLDER

Disclosures

Regulatory Event8
Arbitration2

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.

Company Information

STG SECURE TRADING GROUP, INC.

CRD#: 41216

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