Alain J. Florestan
Professional summary
Alain J Florestan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alain is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Alain had worked at 16 firms, which includes CALDWELL INTERNATIONAL SECURITIES, BROOKSTONE SECURITIES INC., JOHN THOMAS FINANCIAL, MAXIMUM FINANCIAL INVESTMENT GROUP INC., WINDSOR STREET CAPITAL LP, CARLTON CAPITAL INC., INDEPENDENT SECURITIES INVESTORS CORPORATION, NATIONAL SECURITIES CORPORATION, INDIANAPOLIS SECURITIES INC., THOMAS FLETCHER & COMPANY INC., BERRY-SHINO SECURITIES INC., THE THORNWATER COMPANY L.P., MONTROSE CAPITAL MANAGEMENT LTD., SOLID ISG CAPITAL MARKETS LLC, MAY DAVIS GROUP INC., ROAN CAPITAL PARTNERS L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - May 21, 2015
CALDWELL INTERNATIONAL SECURITIES
December 23, 2011 - April 20, 2012
BROOKSTONE SECURITIES, INC.
February 7, 2008 - December 14, 2011
JOHN THOMAS FINANCIAL
August 17, 2007 - February 20, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
February 27, 2006 - August 6, 2007
WINDSOR STREET CAPITAL, LP
June 10, 2005 - March 3, 2006
CARLTON CAPITAL INC.
August 16, 2004 - May 27, 2005
INDEPENDENT SECURITIES INVESTORS CORPORATION
February 12, 2004 - August 3, 2004
CARLTON CAPITAL INC.
January 5, 2004 - February 12, 2004
NATIONAL SECURITIES CORPORATION
September 16, 2002 - October 13, 2003
INDIANAPOLIS SECURITIES, INC.
February 22, 2002 - October 16, 2002
THOMAS FLETCHER & COMPANY, INC.
February 6, 2002 - February 28, 2002
BERRY-SHINO SECURITIES, INC.
September 29, 2000 - March 22, 2001
THE THORNWATER COMPANY, L.P.
July 31, 1999 - September 22, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
December 4, 1998 - July 26, 1999
SOLID ISG CAPITAL MARKETS, LLC
May 18, 1998 - October 9, 1998
MAY, DAVIS GROUP INC.
June 19, 1997 - May 29, 1998
ROAN CAPITAL PARTNERS L.P.
State Registrations and Notice Filings
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Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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