Alan E. Feldman
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 Edward Feldman, who also goes by Alan E Feldman, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1998. Alan had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2017 - December 1, 2020
NORTH SOUTH CAPITAL, LLC
August 24, 2015 - September 1, 2017
MARTEL CAPITAL, LLC
October 29, 2013 - August 17, 2015
FOREFRONT CAPITAL MARKETS LLC
June 12, 2012 - November 21, 2013
WESTPARK CAPITAL, INC.
April 29, 2011 - June 11, 2012
TEJAS SECURITIES GROUP, INC.
June 16, 2010 - May 6, 2011
STONECASTLE SECURITIES, LLC
April 3, 2007 - May 5, 2010
GUGGENHEIM SECURITIES, LLC
June 4, 2004 - April 12, 2007
CASIMIR CAPITAL L.P.
November 21, 2000 - July 29, 2002
SCOTIA CAPITAL (USA) INC.
June 18, 1999 - November 29, 2000
UBS FINANCIAL SERVICES INC.
July 13, 1998 - June 4, 1999
SANDS BROTHERS & CO., LTD.
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
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 1 |
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.
