Alan J. Septimus
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 Jonathan Septimus was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1997. Alan had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2017 - July 7, 2021
ACCESS SECURITIES, LLC
November 15, 2005 - July 18, 2006
MF GLOBAL INC.
August 16, 2004 - August 18, 2005
CIS SECURITIES, INC.
December 15, 1997 - August 10, 2004
OSCAR GRUSS & SON INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ACCESS SECURITIES, LLC
CRD#: 22455 / SEC#: , 8-39729
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
