Alan E. Lax

RYEFIELD CAPITAL

Germantown, NY 12526

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CRD#: 4185945

Professional summary

Alan E. Lax is a registered financial advisor currently at RYEFIELD CAPITAL, LLC located in Germantown, New York.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Alan has worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Alan E. Lax's CRS (Customer Relationship Summary).

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

Current

April 1, 2022 - Present

RYEFIELD CAPITAL, LLC

Office #1: 6 Norrie Court, Germantown, NY 12526

RIA

CRD#: 178514

Germantown, NY

Past

June 20, 2011 - March 23, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREAT NECK, NY

Past

June 20, 2011 - March 23, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREAT NECK, NY

Past

October 28, 2009 - July 15, 2011

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

ROSLYN HEIGHTS, NY

Past

August 11, 2004 - November 4, 2009

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

ROSALYN HEIGHTS, NY

Past

July 20, 2004 - November 4, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

ROSALYN HEIGHTS, NY

Past

April 28, 2004 - July 19, 2004

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

Past

September 3, 2002 - April 28, 2004

HARRISON SECURITIES, INC.

CRD#: 14103

PORT WASHINGTON, NY

Past

July 13, 2000 - September 3, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/26/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/12/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 7/31/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/20/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2003

General Securities Principal Examination

Current Firm

RYEFIELD CAPITAL, LLC

BLUE HERON CAPITAL, LLC | RYEFIELD CAPITAL, LLC

CRD#: 178514 / SEC#:

New York

Registered Investment Advisory firm - (4/29/2015 Approved)

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Contact information

Main Address

6 Norrie Court, Germantown, NY 12526

Mailing Address

Phone number

(516) 375-9211

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 1,800,000

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.

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Firm Stability Insights

Alan E. Lax

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan E. Lax's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LAIDLAW & COMPANY (UK) LTD.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

S.W. BACH & COMPANY

HARRISON SECURITIES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2000

SIE

Date: 3/23/2015

Series 3

Date: 10/12/2006

Series 31

Date: 7/31/2000

Series 7

Date: 7/12/2000

Series 4

Date: 3/20/2006

Series 24

Date: 7/29/2003

Current Firm

RYEFIELD CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RYEFIELD CAPITAL, LLC

TRUST BUT VERIFY

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