Alan Andrew Rhein
Professional Summary
Alan Andrew Rhein was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1965 - 2002. Alan had worked at 4 firms and has passed the PC, Series 1, Series 4, Series 40 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
61 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
LOCKWOOD CAPITAL MANAGEMENT, INC | LOCKWOOD FINANCIAL SERVICES, INC. | LOCKWOOD FINANCIAL SERVICES, INC | LOCKWOOD CONSULTING SERVICES, INC.
Contact Information
Established
Delaware since 10/24/1995Firm Type
CorporationFiscal Year End
DecemberDocuments
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 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed Dec 1965Series 40 — Registered Principal Examination
Passed Mar 1976Series 12 — NYSE Branch Manager Examination
Passed Jan 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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