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Alan Diamond

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CRD#: 67014
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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 Diamond was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1966. Alan had worked at 12 firms and has passed the Series 63, Series 1, Series 24 and Series 40 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

August 10, 1988 - November 22, 1988

KIMBRIDGE & CO., INC.

BD
CRD#: 15631
Past

April 29, 1988 - May 8, 1989

MAGNA SECURITIES, INC.

BD
CRD#: 19257
Past

February 12, 1988 - November 25, 1989

WELLSHIRE SECURITIES, INC.

BD
CRD#: 17939
Past

November 18, 1985 - May 16, 1988

MOSTEL & TAYLOR SECURITIES INC.

BD
CRD#: 10359
Past

June 28, 1983 - November 21, 1985

CROWN FINANCIAL GROUP, INC.

BD
CRD#: 540
Past

May 11, 1982 - February 3, 1983

WM. V. FRANKEL & CO., INCORPORATED

BD
CRD#: 1895
Past

September 4, 1979 - January 3, 1982

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

June 29, 1978 - August 6, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

July 15, 1977 - May 22, 1978

ALLEN & COMPANY LLC

BD
CRD#: 1042
Past

July 10, 1974 - May 6, 1977

LOEB, RHOADES & CO., INCORPORATED

BD
CRD#: 2598
Past

November 11, 1971 - July 22, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

March 10, 1966 - August 30, 1971

CIBC WORLD MARKETS CORP.

BD
CRD#: 630

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: 11/8/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 1/3/1962
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/1988
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 3/18/1975
Registered Principal Examination

Current Firm

K&
KIMBRIDGE & CO., INC.
ATLANTIC-PACIFIC SECURITIES DISCOUNT STOCKBROKERS, INC. | TAX STRATEGY SECURITIES, INC. | KIMBRIDGE & CO., INC.

CRD#: 15631 / SEC#: , 8-32472

BD
Expelled by FINRA on 04/13/1992
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 07/27/1984
Firm type
Corporation
Fiscal year end
July
# 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

KIMBRIDGE & CO., INC.

CRD#: 15631

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