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AL

Alan H. Lederman

Some features on this profile are disabled
CRD#: 601629
AL

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 Herbert Lederman was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1970. Alan had worked at 9 firms and has passed the Series 63, Series 1 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 29, 1989 - December 20, 1990

WEALTH RESOURCE CAPITAL CORPORATION

BD
CRD#: 10367
Past

February 6, 1989 - October 5, 1989

FIRST ATLANTIC INVESTMENT CORP.

BD
CRD#: 13062
Past

June 28, 1988 - December 19, 1988

CUYAHOGA SECURITIES CORPORATION

BD
CRD#: 10539
Past

February 27, 1986 - March 1, 1988

GGL FINANCIAL SECURITIES CORPORATION

BD
CRD#: 16157
Past

September 19, 1985 - February 28, 1986

CECO FINANCIAL SECURITIES CORP.

BD
CRD#: 7196
Past

September 29, 1978 - November 16, 1984

UNIVERSAL HERITAGE INVESTMENTS CORPORATION

BD
CRD#: 32
Past

February 16, 1978 - August 10, 1978

INVESTOGENIC SERVICES, INC.

BD
CRD#: 4076
Past

December 7, 1975 - January 22, 1978

APEX FINANCIAL PLANNERS CORP.

BD
CRD#: 6375
Past

February 3, 1970 - July 27, 1973

SEABOARD SECURITIES, INC.

BD
CRD#: 755

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/28/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 12/11/1958
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/30/1969
General Securities Principal Examination

Current Firm

WR
WEALTH RESOURCE CAPITAL CORPORATION
SOUTH COAST CONSULTING GROUP, INC. | WEALTH RESOURCE CAPITAL CORPORATION

CRD#: 10367 / SEC#: , 8-37674

BD
Terminated by SEC on 03/31/1996
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 11/03/1981
Firm type
Corporation
Fiscal year end
October
# of Employees

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.

Company Information

WEALTH RESOURCE CAPITAL CORPORATION

CRD#: 10367

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