Alan H. Underberg
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.
Alan Henry Underberg, who also goes by Alan H Underberg, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1900. Alan had worked at 22 firms and has passed the Series 63, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2014 - June 24, 2014
BUCKMAN, BUCKMAN & REID, INC.
March 1, 2012 - May 17, 2012
ROCKWELL GLOBAL CAPITAL LLC
November 17, 2009 - March 2, 2012
LAMPERT CAPITAL MARKETS INC.
February 23, 2007 - December 19, 2007
THE CONCORD EQUITY GROUP, LLC
January 4, 2006 - December 12, 2006
BISHOP, ROSEN & CO., INC.
June 13, 2005 - January 25, 2006
ANDREW GARRETT INC.
November 15, 2002 - August 13, 2004
SPENCER CLARKE LLC
August 9, 2001 - October 10, 2002
DPEC CAPITAL, INC.
February 23, 2000 - July 11, 2001
JOSEPHTHAL & CO., INC.
October 27, 1998 - February 8, 2000
JWGENESIS SECURITIES, INC.
July 24, 1998 - September 15, 1998
NATIONAL SECURITIES CORPORATION
October 9, 1997 - July 24, 1998
THE BOSTON GROUP
November 13, 1996 - September 11, 1997
HAMPSHIRE SECURITIES CORPORATION
April 25, 1988 - December 4, 1996
GRUNTAL & CO., L.L.C.
October 24, 1986 - March 9, 1988
MOSELEY SECURITIES CORPORATION
July 2, 1985 - October 7, 1986
KUHNS BROTHERS & LAIDLAW, INC.
April 23, 1985 - April 29, 1985
F.N. WOLF & CO., INC.
December 13, 1984 - March 22, 1985
CRALIN & CO., INC.
April 23, 1976 - December 28, 1984
CIBC WORLD MARKETS CORP.
May 9, 1975 - June 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
November 8, 1974 - June 10, 1975
SHEARSON HAYDEN STONE INC.
January 1, 1900 - November 8, 1974
HAYDEN STONE INC.
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
PC
Date: 8/1/1977
AMEX Put and Call ExamSeries 1
Date: 7/30/1970
Registered Representative ExaminationSeries 8
Date: 2/6/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
