Albert T. Brod
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.
Albert Thomas Brod was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1958. Albert had worked at 2 firms and has passed the Series 41 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 1997 - February 12, 1997
STATE CAPITAL MARKETS CORPORATION
April 1, 1958 - April 12, 1995
A. T. BROD & CO. INC.
State Registrations and Notice Filings
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Exams
Series 41
Date: 4/1/1958
NYSE Allied Member ExaminationCurrent Firm
STATE CAPITAL MARKETS CORPORATION
CRD#: 13685 / SEC#: , 8-29655
Contact information
Documents
Red Flags
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