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AW

Alon Wasserman

PUNDION LLC
New York, NY 10169
Some features on this profile are disabled
CRD#: 4544398
AW

Professional summary

Alon Wasserman is a registered financial professional currently at PUNDION LLC located in New York, New York.

Alon is registered as a RR (Registered Representative) and started their career in finance in 2003. Alon has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 56 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Alon Wasserman's 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

May 15, 2012 - Present

PUNDION LLC

Office #1: 230 Park Avenue 4th Floor, New York, NY, 10169
BD
CRD#: 156169
New York, NY
Past

November 19, 2003 - January 31, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 56
Date: 5/14/2012
Proprietary Trader Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2011
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

PL
PUNDION LLC
PUNDION LLC

CRD#: 156169 / SEC#: , 8-68784

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

Main Address
230 Park Avenue 4th Floor, New York, NY, 10169
Mailing Address
230 Park Avenue 4th Floor, New York, NY, 10169
Phone number
(201) 409-4096
Established
Delaware since 10/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ISTRA LLCMEMBER
AHAL, SHLOMOCTO5882415
COX, TIMOTHY EOGHANMANAGING DIRECTOR/CCO5115391
LEWIN, JONATHAN AARONCOO/SECRETARY/COMPLIANCE OFFICER-TRADING5889940
LEWIN, MICHAEL NOAHCEO5886440
MANTSOUR, YAELDIRECTOR OF FINANCE/CFO/FINOP/PFO/POO6825762
WASSERMAN, ALONCIO/COMPLIANCE OFFICER-TRADING4544398

Disclosures

Regulatory Event3

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

PUNDION LLC

CRD#: 156169New York, NY 10169

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