Alan F. Schneider
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 Frederick Schneider, who also goes by Alan Fredrick Schneider, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1996. Alan had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2011 - October 17, 2012
CANTELLA & CO., INC.
July 13, 2005 - March 14, 2011
AVANTAX INVESTMENT SERVICES, INC.
March 18, 2005 - July 29, 2005
WORTHMARK FINANCIAL SERVICES, LLC
January 20, 2005 - April 14, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 20, 2005 - April 14, 2005
OSAIC FA, INC.
August 1, 2003 - January 6, 2005
WALNUT STREET SECURITIES, INC.
March 23, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
October 29, 1999 - February 1, 2002
HAPOALIM SECURITIES USA, INC.
November 27, 1996 - October 29, 1999
ROYCE INVESTMENT GROUP, 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
