Albert B. Weil
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.
Albert Benno Weil, who also goes by Al Weil, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1971. Albert had worked at 13 firms and has passed the Series 63, SIE 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
July 20, 2005 - January 18, 2017
INVEST FINANCIAL CORPORATION
January 31, 2002 - July 20, 2005
21ST CENTURY FINANCIAL SERVICES, INC.
June 21, 2000 - February 15, 2002
PARK AVENUE SECURITIES LLC
July 16, 1997 - June 20, 2000
SIGNATOR INVESTORS, INC.
February 21, 1992 - July 11, 1997
USLIFE EQUITY SALES CORP.
December 22, 1987 - January 9, 1990
C.A.L. INVESTMENT SERVICES INC.
March 4, 1987 - December 31, 1991
ENERIC FINANCIAL SERVICES, INC.
August 8, 1984 - November 12, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
November 30, 1983 - February 27, 1987
J F LOWE & COMPANY INCORPORATED
August 8, 1983 - August 16, 1984
MOSTEL & TAYLOR SECURITIES INC.
July 6, 1973 - November 21, 1976
PROVIDENT NATIONAL EQUITIES, INC.
May 13, 1971 - February 4, 1983
MONY SECURITIES CORPORATION
May 13, 1971 - February 7, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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: 9/20/1968
Registered Representative ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
