Alan J. Weisberg
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 Jay Weisberg was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1972. Alan had worked at 5 firms and has passed the Series 7, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2008 - October 28, 2009
CAPITAL & CREDIT INTERNATIONAL, INC.
June 15, 2006 - September 28, 2012
BASIS FINANCIAL, LLC
June 11, 1987 - April 30, 2012
UNITED SECURITY CORPORATION
April 24, 1973 - March 6, 1974
DEAN WITTER & CO. INCORPORATED
September 25, 1972 - April 12, 1973
DUPONT GLORE FORGAN 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
Series 1
Date: 9/16/1972
Registered Representative ExaminationCurrent Firm
CAPITAL & CREDIT INTERNATIONAL, INC.
CRD#: 136660 / SEC#: , 8-67033
Contact information
Documents
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.
