Alan A. Rhein
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 Andrew Rhein was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1965. Alan had worked at 4 firms and has passed the PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1996 - September 16, 2002
LOCKWOOD FINANCIAL SERVICES, INC.
June 9, 1993 - March 24, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1988 - June 9, 1993
LEHMAN BROTHERS INC.
December 21, 1965 - February 15, 1988
E. F. HUTTON & COMPANY 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 12/20/1965
Registered Representative ExaminationSeries 40
Date: 3/29/1976
Registered Principal ExaminationSeries 12
Date: 1/29/1975
NYSE Branch Manager ExaminationCurrent Firm
LOCKWOOD FINANCIAL SERVICES, INC.
CRD#: 40655 / SEC#: , 8-49116
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LFG, INC. | PARENT CORPORATION | |
| BICKET, PATRICIA ANN | SECRETARY | 4030557 |
| BRUECKNER, RICHARD FREDERICK | DIRECTOR | 878486 |
| DETWILER, ELIZABETH C | ASST. SECRETARY | 4361137 |
| DUDDIE, ROBERT JOSEPH | CHIEF OPERATIONS OFFICER/VP | 1498367 |
| GIZZI, EMIL | CHIEF FINANCIAL OFFICER/FINOP | 1330391 |
| LOGUE, MICHELLE MARIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2169361 |
| MASTRO, THOMAS J. | TREASURER | 3242279 |
| MCCLELLAN, CHRISTINA MARIE | CHIEF FINANCIAL OFFICER | 4369407 |
| REINHART, LEONARD ALAN | DIRECTOR/VP | 871907 |
| SHEA, BRIAN THOMAS | CHAIRMAN | 1176298 |
| SISLER, HEATHER | ASST. SECRETARY | 4604058 |
| ZANGRE, ANTHONY | VICE PRESIDENT | 4240260 |
Red Flags
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