Alain E. Wittman
Professional summary
Alain Evan Wittman is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Alain is registered as a RR (Registered Representative) and started their career in finance in 1997. Alain has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alain Evan Wittman's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2015 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901March 15, 2013 - January 2, 2014
VOYA FINANCIAL ADVISORS, INC.
March 28, 2005 - March 15, 2013
VOYA FINANCIAL PARTNERS, LLC
December 2, 2002 - November 20, 2003
AMERICAN INVESTORS GROUP, INC.
January 10, 2002 - November 29, 2002
ALLSTATE FINANCIAL SERVICES, LLC
June 5, 2000 - December 31, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 1997 - February 3, 1998
MARQUETTE FINANCIAL GROUP, INC.
February 18, 1997 - April 10, 1997
PINEBRIDGE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2015)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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