Alvin R. Corwin
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.
Alvin Richard Corwin, who also goes by Alvin R Corwin, was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 1965. Alvin had worked at 12 firms and has passed the Series 63, PC 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
January 3, 2003 - June 18, 2008
OPPENHEIMER & CO. INC.
October 24, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
May 27, 2000 - November 7, 2000
CITIGROUP GLOBAL MARKETS INC.
January 13, 1986 - May 27, 2000
SCHRODER & CO. INC.
October 1, 1985 - December 20, 1985
GRUNTAL & CO., L.L.C.
November 15, 1984 - October 1, 1985
JII SECURITIES INC.
July 13, 1978 - November 19, 1984
BECKER PARIBAS INCORPORATED
November 22, 1977 - December 24, 1981
LEHMAN BROTHERS INC.
October 4, 1977 - July 13, 1978
BECKER SECURITIES INCORPORATED
March 10, 1976 - November 22, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
May 23, 1973 - March 3, 1976
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 20, 1965 - June 9, 1973
TPO INCORPORATED INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
PC
Date: 9/16/1977
AMEX Put and Call ExamSeries 1
Date: 8/21/1959
Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
