Alfred M. Shams
Professional summary
Alfred Maurice Shams, who also goes by Al Shams, is a registered financial professional currently at AMERICAN CAPITAL PARTNERS, LLC located in Atlanta, Georgia.
Alfred is registered as a RR (Registered Representative) and started their career in finance in 1974. Alfred has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE, Series 31, PC and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alfred Maurice Shams's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2013 - Present
AMERICAN CAPITAL PARTNERS, LLC
Office #1: 6000 Lake Forrest Drive N.w. Suite# 325, Atlanta, GA 30328January 17, 2012 - January 31, 2013
L.M. KOHN & COMPANY
January 10, 2003 - January 17, 2012
MIDSOUTH CAPITAL, INC.
November 10, 2000 - January 14, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 25, 1996 - November 15, 2000
SOUTHWICK INVESTMENTS, INC.
May 30, 1991 - November 14, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 12, 1985 - May 13, 1991
ALEX. BROWN & SONS INCORPORATED
June 16, 1980 - December 20, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
June 23, 1978 - July 13, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 18, 1978 - May 1, 1978
LOEB PARTNERS
March 22, 1976 - January 18, 1978
LOEB, RHOADES & CO. INC.
August 18, 1975 - April 1, 1976
NATIONSBANC SECURITIES OF GEORGIA, INC.
August 7, 1974 - February 21, 1975
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/14/2025)
(2/1/2013)
(1/6/2016)
(2/1/2013)
(2/1/2013)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 8/22/1991
AMEX Put and Call ExamSeries 00
Date: 7/9/1970
General Securities Principal ExaminationFINRA
Nasdaq Stock Market
Current Firm
AMERICAN CAPITAL PARTNERS, LLC
CRD#: 119249 / SEC#: , 8-65165
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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