Alan H. Weinfeld
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 Harold Weinfeld was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1997. Alan had worked at 7 firms and has passed the Series 63, 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
September 2, 2011 - August 1, 2012
DAVIS SECURITIES LLC
November 23, 2010 - September 22, 2011
KERN, SUSLOW SECURITIES, INC.
July 22, 2009 - September 28, 2009
CAPSTONE INVESTMENTS
June 22, 2007 - May 9, 2008
HENLEY & COMPANY LLC
October 25, 2004 - June 8, 2006
KAUFMAN BROS., L.P.
August 30, 2001 - September 23, 2004
FULCRUM GLOBAL PARTNERS LLC
January 13, 1997 - January 10, 2000
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DAVIS SECURITIES LLC
CRD#: 138829 / SEC#: , 8-67174
Contact information
FINRA licenses (5 States and Territories)
Red Flags
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