Alan Sher
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 Sher was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1976. Alan had worked at 4 firms and has passed the Series 7 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
October 30, 1992 - January 18, 1993
FIRST INTERREGIONAL EQUITY CORP.
July 11, 1989 - November 1, 1990
FIRST INTERREGIONAL EQUITY CORP.
August 19, 1986 - June 9, 1989
RICKEL & ASSOCIATES, INC.
January 11, 1984 - August 11, 1986
J. B. HANAUER & CO.
March 6, 1979 - January 14, 1984
FIRST INTERREGIONAL EQUITY CORP.
April 12, 1976 - April 26, 1979
GIBRALTAR SECURITIES CO.
January 2, 1976 - April 28, 1977
J. B. HANAUER & CO.
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: 11/20/1978
Registered Representative ExaminationCurrent Firm
FIRST INTERREGIONAL EQUITY CORP.
CRD#: 7486 / SEC#: , 8-21991
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.
