Alfred I. Lipsitz
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.
Alfred Ivan Lipsitz was a registered financial advisor .
Alfred is a previously registered financial advisor and started their career in finance in 1970. Alfred had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 28, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2010 - July 27, 2015
BOENNING & SCATTERGOOD, INC.
January 7, 2010 - July 27, 2015
BOENNING & SCATTERGOOD, INC.
March 13, 2009 - January 27, 2010
RBC CAPITAL MARKETS, LLC
September 1, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
November 19, 2001 - September 7, 2006
ARTHURS, LESTRANGE & COMPANY INCORPORATED
August 14, 1998 - November 16, 2001
PIN OAK PARTNERS, INC.
June 18, 1980 - November 16, 1998
COVATO/LIPSITZ, INC.
January 5, 1977 - July 13, 1980
PARKER/HUNTER INCORPORATED
January 14, 1970 - January 5, 1977
PARKER/HUNTER INCORPORATED
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
Series 1
Date: 8/4/1959
Registered Representative ExaminationSeries 28
Date: 9/24/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 40
Date: 5/7/1968
Registered Principal ExaminationCurrent Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 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.
