Alan Frankel
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 Frankel was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1996. Alan had worked at 8 firms and has passed the Series 63 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
February 11, 2004 - May 18, 2004
LH ROSS & COMPANY, INC.
February 3, 2004 - February 10, 2004
GUNNALLEN FINANCIAL, INC
October 24, 2000 - January 30, 2004
CONTINENTAL BROKER-DEALER CORP.
May 23, 2000 - October 18, 2000
NORTHRIDGE CAPITAL CORPORATION
September 24, 1999 - May 24, 2000
PARKER FINANCIAL CORP.
July 22, 1997 - September 27, 1999
W.J. NOLAN & COMPANY, INC.
February 5, 1997 - July 2, 1997
WINCHESTER INVESTMENT SECURITIES, INC.
June 12, 1996 - December 20, 1996
STRATTON OAKMONT 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
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
