Alfred P. Reeves
Professional summary
Alfred Pierrepont Reeves III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alfred is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Alfred had worked at 27 firms, which includes CONVERGENT SECURITIES LLC, HWJ CAPITAL PARTNERS II LLC, EUROPA SECURITIES LLC, MISSION SECURITIES CORPORATION, STG SECURE TRADING GROUP INC., IGS SECURITIES INC., DELTA ASSET MANAGEMENT COMPANY LLC, ARJENT LTD., EMERSON BENNETT & ASSOCIATES, AFFILIATED FUNDING CORP., FARRAND INVESTMENT BANKERS, RUMSON CAPITAL LLC, PREFERRED SECURITIES GROUP INC., EQUITYLINE SECURITIES INC., MEYERS POLLOCK ROBBINS INC., INVESTORS ASSOCIATES INC., TEXAS SECURITIES INC., HASAN GROWNEY CO. INC., J F LOWE & COMPANY INCORPORATED, TURCAN FINANCIAL GROUP INC., CONTINENTAL EQUITIES CORPORATION OF AMERICA, TNE INVESTMENT SERVICES CORPORATION, NEW ENGLAND SECURITIES, PENDRICK REEVES ASSOCIATES INC., JOHN R MAHER ASSOCIATES INC., MARSHALL MURRAY & CO INC, KENNETH BOVE & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2011 - December 19, 2011
CONVERGENT SECURITIES, LLC
January 5, 2011 - August 30, 2011
HWJ CAPITAL PARTNERS II, LLC
May 13, 2008 - February 2, 2011
EUROPA SECURITIES, LLC
June 29, 2007 - October 12, 2007
MISSION SECURITIES CORPORATION
October 13, 2005 - February 1, 2006
STG SECURE TRADING GROUP, INC.
July 19, 2005 - September 14, 2005
IGS SECURITIES, INC.
February 6, 2004 - August 9, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
February 7, 2002 - March 7, 2002
ARJENT LTD.
May 9, 2001 - November 1, 2001
EMERSON BENNETT & ASSOCIATES
April 24, 2001 - December 8, 2010
AFFILIATED FUNDING CORP.
April 6, 2001 - January 19, 2007
FARRAND INVESTMENT BANKERS
January 10, 2001 - June 1, 2001
RUMSON CAPITAL, LLC
July 13, 1998 - November 30, 2000
PREFERRED SECURITIES GROUP, INC.
September 8, 1997 - June 4, 1998
EQUITYLINE SECURITIES, INC.
April 26, 1996 - February 25, 1998
MEYERS POLLOCK ROBBINS, INC.
August 28, 1991 - March 13, 1996
INVESTORS ASSOCIATES, INC.
November 23, 1990 - February 27, 1991
TEXAS SECURITIES, INC.
March 13, 1990 - March 24, 1992
HASAN GROWNEY CO. INC.
March 2, 1989 - December 5, 1989
J F LOWE & COMPANY INCORPORATED
September 19, 1988 - November 2, 1988
TURCAN FINANCIAL GROUP, INC.
August 2, 1985 - July 5, 1988
CONTINENTAL EQUITIES CORPORATION OF AMERICA
September 4, 1984 - August 12, 1985
TNE INVESTMENT SERVICES CORPORATION
June 24, 1983 - July 31, 1985
NEW ENGLAND SECURITIES
June 6, 1978 - October 3, 1983
PENDRICK REEVES ASSOCIATES, INC.
September 3, 1974 - May 2, 1980
JOHN R MAHER ASSOCIATES, INC.
July 3, 1972 - April 23, 1973
MARSHALL MURRAY & CO INC
September 1, 1971 - August 2, 1972
KENNETH BOVE & CO., INC.
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 55
Date: 5/15/1998
Limited Representative-Equity Trader ExamF04
Date: 12/16/1974
Financial Principal ExaminationSeries 00
Date: 4/15/1968
General Securities Principal ExaminationCurrent Firm
CONVERGENT SECURITIES, LLC
CRD#: 151959 / SEC#: , 8-68447
Contact information
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.
