Stanley Altman
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.
Stanley Altman was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1980. Stanley had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2009 - January 27, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 23, 2003 - December 31, 2009
BOLTON GLOBAL CAPITAL
January 2, 2001 - April 29, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 2, 2001 - April 29, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 23, 1997 - January 2, 2001
JWGENESIS SECURITIES, INC.
February 16, 1990 - April 23, 1997
GRUNTAL & CO., L.L.C.
December 5, 1989 - February 13, 1990
J. T. MORAN & CO., INC.
June 26, 1980 - December 8, 1989
PRUDENTIAL EQUITY GROUP, LLC
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 15
Date: 12/7/1982
Foreign Currency Options ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
