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AS

Alan L. Stanzler

CURTIS POINT CAPITAL
Weston, MA 02493
Some features on this profile are disabled
CRD#: 4330679
AS

Professional summary

Alan Lee Stanzler, who also goes by Alan L Stanzler, Alan Lee Stanzler, is a registered financial professional currently at CURTIS POINT CAPITAL located in Weston, Massachusetts.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1998. Alan has worked at 3 firms and has passed the Series 63, Series 82TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan L Stanzler | Alan Lee Stanzler

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) - BD

Click below to view Alan Lee Stanzler's CRS (Customer Relationship Summary).
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

December 13, 2021 - Present

CURTIS POINT CAPITAL

Office #1: 6 Driftwood Lane, Weston, MA 02493
BD
CRD#: 307399
Weston, MA
Past

November 27, 2017 - December 20, 2019

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

June 18, 1998 - December 31, 2007

TRANS-ASSET, LLC

RIA
CRD#: 132216
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/20/2022)
RR
Massachusetts
(7/6/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 9/12/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/27/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CURTIS POINT CAPITAL
CURTIS POINT CAPITAL | CURTIS POINT CAPITAL, LLC

CRD#: 307399 / SEC#: , 8-70494

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

Main Address
6 Driftwood Lane, Weston, MA 02493
Mailing Address
6 Driftwood, Weston, MA 02493
Phone number
(631) 721-3541
Established
Delaware since 01/09/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (12 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#
CURTIS POINT HOLDINGS, LLCDIRECT OWNER
PERCH BAY GROUP, LLCDIRECT OWNER
DORFMAN, ESTEE CARLAFINOP2696529
VAN OGTROP, ANDREW BERNARDMANAGING PARTNER AND CHIEF COMPLIANCE OFFICER2921520

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

CURTIS POINT CAPITAL

CRD#: 307399Weston, MA 02493

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