Albert J. Schiff
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.
Albert John Schiff, who also goes by Albert J Schiff, Bud Schiff, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1970. Albert had worked at 7 firms and has passed the Series 63, SIE, Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2013 - February 27, 2025
ALVAREZ & MARSAL SECURITIES, LLC
November 19, 2012 - October 29, 2013
M HOLDINGS SECURITIES, INC.
September 6, 2001 - July 9, 2012
NYLIFE SECURITIES LLC
December 21, 1998 - October 11, 2001
TOWER SQUARE SECURITIES, INC.
April 18, 1996 - January 7, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 18, 1996 - January 7, 1999
EQUITABLE ADVISORS, LLC
January 7, 1970 - November 24, 1978
M & J KAPLAN 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
Series 1
Date: 12/29/1969
Registered Representative ExaminationCurrent Firm
ALVAREZ & MARSAL SECURITIES, LLC
CRD#: 127858 / SEC#: , 8-66055
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
