Jean E. Alfred
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.
Jean Eddy Alfred, who also goes by Eddy None Alfred, Eddy Alfred, was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 2001. Jean had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2010 - July 16, 2014
ROCKWELL GLOBAL CAPITAL LLC
January 26, 2009 - June 23, 2010
FIRST MIDWEST SECURITIES, INC.
February 22, 2006 - January 26, 2009
NEWBRIDGE SECURITIES CORPORATION
January 3, 2006 - March 2, 2006
J.P. TURNER & COMPANY, L.L.C.
October 22, 2003 - July 29, 2005
JOSEPH STEVENS & CO., INC.
November 20, 2002 - October 27, 2003
LADENBURG THALMANN & CO. INC.
June 4, 2001 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
