Alan E. Bartholemy
Professional summary
Alan Edmund Bartholemy JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alan is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Alan had worked at 3 firms, which includes CINCINNATI ANALYSTS INC., SUNAMERICA SECURITIES INC., CETERA WEALTH SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2002 - December 1, 2005
CINCINNATI ANALYSTS, INC.
December 20, 2000 - June 12, 2002
CINCINNATI ANALYSTS, INC.
May 13, 1999 - December 20, 2000
SUNAMERICA SECURITIES, INC.
October 1, 1998 - May 5, 1999
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CINCINNATI ANALYSTS, INC.
CRD#: 5478 / SEC#: 801-9678, 8-13791
Contact information
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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