Alan P. Jacobs
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 Philip Jacobs was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1968. Alan had worked at 12 firms and has passed the Series 63, Series 55, PC, Series 1, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2012 - September 13, 2012
R. F. LAFFERTY & CO., INC.
April 22, 2008 - January 31, 2012
KERN, SUSLOW SECURITIES, INC.
April 27, 2006 - May 1, 2008
NEWOAK CAPITAL MARKETS LLC
March 24, 2003 - April 26, 2006
CAPITAL GROWTH FINANCIAL, LLC
June 28, 2001 - March 21, 2003
KSH INVESTMENT GROUP, INC.
March 7, 2000 - June 27, 2001
HD BROUS & CO., INC.
January 29, 1996 - January 7, 2000
AVALON RESEARCH GROUP, INC.
July 24, 1991 - February 28, 1996
M. A. BERMAN CO.
February 1, 1990 - May 24, 1991
STARR SECURITIES, INC.
March 17, 1980 - January 31, 1990
NEUBERGER BERMAN BD LLC
March 15, 1974 - April 14, 1980
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 11, 1971 - April 8, 1974
NEUBERGER BERMAN BD LLC
February 7, 1968 - July 28, 1972
RALPH E. SAMUEL & CO.
Primary Firm SEC Registration
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
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: 8/25/2006
Limited Representative-Equity Trader ExamPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 4/4/1960
Registered Representative ExaminationCurrent Firm
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
Contact information
SEC notice filing (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
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.
