Adam M. Rezak
Professional summary
Adam Marc Rezak is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 1995. Adam has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 53, Series 14, Series 9, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Marc Rezak's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2014 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 875 Third Avenue 4th Floor, Suite 403, New York, NY 10022November 20, 2007 - January 14, 2010
ASSET CONSULTING GROUP, LLC
November 20, 2007 - December 12, 2013
GUGGENHEIM INVESTMENT ADVISORS, LLC
November 20, 2007 - December 12, 2013
GUGGENHEIM INVESTOR SERVICES, LLC
February 23, 2000 - July 19, 2007
SWISS AMERICAN SECURITIES INC.
May 3, 1999 - February 10, 2000
HSBC BROKERAGE (USA) INC.
August 8, 1995 - July 10, 1998
NEBRASKA HUDSON COMPANY, INC.
May 25, 1995 - September 7, 1995
INVESTORS ASSOCIATES, 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
(8/4/2014)
(8/4/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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