Alvin Dern
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 Dern was a registered financial advisor .
Alvin is a previously registered financial advisor and started their career in finance in 1968. Alvin had worked at 9 firms and has passed the Series 65, Series 63, Series 2, Series 5, Series 3, Series 24, Series 53, Series 27, Series 4, F04, Series 40 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
July 19, 2006 - November 19, 2012
DERN CAPITAL MANAGEMENT CORPORATION
July 26, 1989 - February 24, 1990
AMERICAN BOND GROUP, INC.
December 4, 1984 - June 29, 1985
GRUNTAL & CO., L.L.C.
February 2, 1983 - December 5, 1984
LEHMAN BROTHERS INC.
October 1, 1981 - January 28, 1983
UBS FINANCIAL SERVICES INC.
February 19, 1980 - October 12, 1981
CIBC WORLD MARKETS CORP.
April 17, 1978 - October 29, 1982
HAMILTON/COOKE & CO. OF FLORIDA, INC.
October 4, 1976 - June 5, 1978
DERN & CO., INCORPORATED
July 9, 1968 - October 4, 1976
DERN MANAGEMENT CORP.
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 2
Date: 9/17/1992
Non-Member General Securities ExaminationSeries 5
Date: 10/23/1981
Interest Rate Options ExaminationF04
Date: 9/25/1976
Financial Principal ExaminationSeries 40
Date: 6/5/1976
Registered Principal ExaminationSeries 00
Date: 5/10/1968
General Securities Principal ExaminationCurrent Firm
DERN CAPITAL MANAGEMENT CORPORATION
CRD#: 129824 / SEC#: 802-112790
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 12/22/2022 |
Red Flags
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