Allan E. Abrams
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.
Allan Edward Abrams was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1972. Allan had worked at 6 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 1985 - October 16, 1985
WINTHROP SECURITIES CO., INC.
April 30, 1976 - May 4, 2005
WIZER FINANCIAL, INC.
February 7, 1975 - May 30, 1976
WZW FINANCIAL SERVICES, INC.
October 15, 1974 - February 3, 1975
PROFESSIONAL INVESTMENT SERVICES, INC.
May 24, 1973 - November 7, 1974
PLANNED INVESTMENTS INC.
July 12, 1972 - November 30, 1972
KLINEMAN ASSOCIATES, 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: 7/10/1972
Registered Representative ExaminationF04
Date: 2/8/1973
Financial Principal ExaminationSeries 00
Date: 1/18/1973
General Securities Principal ExaminationCurrent Firm
WINTHROP SECURITIES CO., INC.
CRD#: 6925 / SEC#: , 8-18445
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
