Allan Silverberg
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.
Allan Silverberg, who also goes by Allen Silverberg, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1974. Allan had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2006 - December 31, 2012
NEW ENGLAND SECURITIES
September 1, 2006 - November 21, 2013
NEW ENGLAND SECURITIES
June 16, 2006 - August 21, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 15, 2004 - June 21, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 17, 2000 - January 27, 2004
AMERITAS INVESTMENT COMPANY, LLC
March 29, 1999 - April 19, 2000
THE LEADERS GROUP, INC.
February 8, 1995 - April 6, 1999
UMB FINANCIAL SERVICES, INC.
January 27, 1986 - January 13, 1995
WS GRIFFITH SECURITIES, INC.
August 15, 1984 - January 31, 1986
SENTRA SECURITIES CORPORATION
January 23, 1984 - September 13, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
December 1, 1983 - September 21, 1984
PPS SECURITIES CORP.
April 3, 1974 - April 18, 1984
HOME LIFE INSURANCE COMPANY
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: 3/23/1974
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
