Alan B. Marcus
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 Bruce Marcus was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1969. Alan had worked at 10 firms and has passed the Series 63, Series 15, Series 5, PC, Series 1 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
February 10, 2000 - July 31, 2012
BRILL SECURITIES, INC.
August 9, 1995 - November 22, 1999
CITIGROUP GLOBAL MARKETS INC.
January 21, 1994 - May 15, 1995
CITIGROUP GLOBAL MARKETS INC.
October 1, 1993 - January 1, 1994
JOSEPHTHAL & CO., INC.
July 31, 1993 - October 7, 1993
CITIGROUP GLOBAL MARKETS INC.
April 4, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 3, 1984 - April 12, 1988
PRUDENTIAL EQUITY GROUP, LLC
July 15, 1974 - September 24, 1984
J.P. MORGAN SECURITIES LLC
April 5, 1973 - August 23, 1974
LEGG MASON WOOD WALKER, INCORPORATED
May 19, 1971 - April 23, 1973
CANNON, JEROLD & CO., INC.
January 28, 1971 - June 20, 1971
SPRAYRAGEN & CO
November 7, 1969 - June 13, 1972
KERN SECURITIES CORPORATION
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 15
Date: 2/20/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/29/1981
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 8/15/1962
Registered Representative ExaminationSeries 40
Date: 11/3/1969
Registered Principal ExaminationCurrent Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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