Alan M. Rifkin
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 M Rifkin, who also goes by Alan Michael Rifkin, Alan Rifkin, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1995. Alan had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2016 - May 9, 2018
BTIG, LLC
June 2, 2011 - June 17, 2015
BARCLAYS CAPITAL INC.
June 17, 2008 - June 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2000 - June 1, 2007
LEHMAN BROTHERS INC.
March 22, 1999 - January 3, 2000
THOMAS WEISEL PARTNERS LLC
March 5, 1997 - March 23, 1999
PIPER SANDLER & CO.
October 12, 1995 - March 5, 1997
DAIN RAUSCHER INCORPORATED
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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
