Alan S. Talbot
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 Stuart Talbot was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1998. Alan had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2013 - November 18, 2014
OTR GLOBAL TRADING LLC
December 20, 2011 - February 28, 2013
AVATAR SECURITIES, LLC
May 24, 2007 - September 14, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 18, 2006 - May 22, 2007
TD AMERITRADE CLEARING, INC.
June 18, 2004 - September 14, 2010
TD AMERITRADE, INC.
April 17, 2000 - September 14, 2010
TD AMERITRADE, INC.
April 7, 1998 - July 15, 1999
MORGAN STANLEY DW INC.
March 23, 1998 - April 3, 1998
JW RICHARDS, INC
State Registrations and Notice Filings
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Exams
Current Firm
OTR GLOBAL TRADING LLC
CRD#: 138116 / SEC#: , 8-67147
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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