Richard S. Alter
Professional summary
Richard Samuel Alter, who also goes by Richard S Alter, is a registered financial professional currently at ALTERNATIVE EXECUTION GROUP located in Bayonne, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Samuel Alter's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2013 - Present
ALTERNATIVE EXECUTION GROUP
Office #1: 111 W 41st Street, Bayonne, NJ 07002August 12, 2008 - January 30, 2014
MERCATOR ASSOCIATES, LLC
February 25, 2008 - August 14, 2008
GROSSMAN & CO., LLC.
May 16, 2005 - February 20, 2008
THE VERTICAL GROUP
August 2, 2004 - May 6, 2005
PUGLISI & CO.
October 23, 2000 - July 16, 2004
CROWN FINANCIAL GROUP, INC.
January 24, 1997 - November 6, 2000
SHARPE CAPITAL, INC.
August 26, 1996 - January 9, 1997
FIRST MONTAUK SECURITIES CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
ALTERNATIVE EXECUTION GROUP
CRD#: 167830 / SEC#: , 8-69279
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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