Alan M. Ferraro
Professional summary
Alan Marc Ferraro was barred by the SEC 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 1995. Prior to being barred, Alan had worked at 6 firms, which includes NATIONAL SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, JOSEPH STEVENS & CO. INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, CORTLANDT CAPITAL CORPORATION, JOSEPH ROBERTS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2008 - June 26, 2009
NATIONAL SECURITIES CORPORATION
April 12, 2006 - June 6, 2008
GUNNALLEN FINANCIAL, INC
January 27, 1997 - April 28, 2006
JOSEPH STEVENS & CO., INC.
August 29, 1995 - January 31, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
July 19, 1995 - August 9, 1995
CORTLANDT CAPITAL CORPORATION
May 12, 1995 - June 9, 1995
JOSEPH ROBERTS & CO., INC.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
