Alex Roytman
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.
Alex Roytman was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1997. Alex had worked at 9 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
June 26, 2003 - July 26, 2004
GUNNALLEN FINANCIAL, INC
February 13, 2002 - May 7, 2002
VFINANCE INVESTMENTS, INC
December 3, 2001 - February 5, 2002
VFINANCE INVESTMENTS, INC
December 5, 2000 - December 21, 2001
NATIONAL SECURITIES CORPORATION
August 30, 2000 - December 8, 2000
MERIT CAPITAL ASSOCIATES, INC.
September 29, 1998 - September 22, 2000
BARRON CHASE SECURITIES, INC.
July 7, 1998 - July 29, 1998
PRESTON LANGLEY ASSET MANAGEMENT, INC.
January 8, 1998 - July 21, 1998
MILLENNIUM SECURITIES CORP.
August 1, 1997 - December 23, 1997
LADENBURG CAPITAL MANAGEMENT INC.
May 22, 1997 - June 20, 1997
LT LAWRENCE & 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
