Alan A. Clymer
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 Abraham Clymer, who also goes by Alan Clymer, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2020. Alan had worked at 1 firm and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2020 - October 28, 2022
ROTHSCHILD & CO REDBURN
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 57TO
Date: 6/29/2021
Securities Trader ExamSeries 7TO
Date: 6/24/2020
General Securities Representative ExaminationCurrent Firm
ROTHSCHILD & CO REDBURN
CRD#: 140564 / SEC#: , 8-67320
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REDBURN (EUROPE) LIMITED | PARENT COMPANY | |
| BRISTOWE, WILLIAM ROBERT | HEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN | 1798670 |
| CONNELLY, ARTHUR MARK JR. | US HEAD OF ECM | 2056930 |
| GORDON, BENJAMIN JAKE | CHIEF COMPLIANCE OFFICER | 6677911 |
| JOSEPH, ROWAN MURRAY | HEAD OF NORTH AMERICA | 5517410 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| MCELLIGOTT, CASEY MEREDITH | HEAD OF US EXECUTION | 4440554 |
| SCHACKERT, CHRISTA MARY | FINOP, PRINCIPAL FINANCIAL OFFICER | 4219093 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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