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AS

Alan R. Specht

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CRD#: 4133797
AS

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 Robert Specht, who also goes by Alan R. Specht, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 2000. Alan had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan R. Specht

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 11, 2017 - May 16, 2022

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

August 5, 2014 - January 12, 2017

THE VERTICAL GROUP

BD
CRD#: 104353
RED BANK, NJ
Past

November 21, 2013 - August 5, 2014

FULCRUM SECURITIES, LLC

BD
CRD#: 140084
SAINT LOUIS, MO
Past

January 15, 2013 - November 1, 2013

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

December 13, 2011 - January 4, 2013

SARATOGA CAPITAL MARKETS

BD
CRD#: 120888
NEW YORK, NY
Past

February 24, 2009 - December 8, 2011

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

December 15, 2006 - January 26, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
GARDEN CITY, NY
Past

September 10, 2004 - November 13, 2006

THE ORION CAPITAL GROUP, INC.

BD
CRD#: 25953
NEW YORK, NY
Past

May 8, 2003 - September 10, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

November 18, 2002 - May 5, 2003

LEEB BROKERAGE SERVICES, INC.

BD
CRD#: 46195
NEW YORK, NY
Past

November 5, 2001 - April 23, 2002

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

November 6, 2000 - October 24, 2001

MONNESS CRESPI HARDT & CO., INC.

BD
CRD#: 7424
NEW YORK, NY
Past

March 22, 2000 - November 20, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2000
General Securities Representative Examination

Current Firm

TB
THE BENCHMARK COMPANY, LLC
BENCHMARK-PELLINORE GROUP, INC. | THE BENCHMARK COMPANY, LLC | THE BENCHMARK COMPANY, INC. | PELLINORE SECURITIES CORP.

CRD#: 22982 / SEC#: , 8-40081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
150 E 58th Street 17th Floor, New York, NY 10155
Mailing Address
150 E 58th Street 17th Floor, New York, NY 10155
Phone number
(212) 312-6700
Established
Delaware since 02/21/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.OWNER
HASSON, KIM-MARIECCO/AML COMPLIANCE OFFICER4021977
MESSINA, RICHARDPRESIDENT1361661
SCHIRRIPA, THOMAS NCFO/FINOP/PFO/POO2231180

Disclosures

Regulatory Event17
Arbitration1

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.

Company Information

THE BENCHMARK COMPANY, LLC

CRD#: 22982

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