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AS

Allen R. Sacharow

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CRD#: 717179
AS

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.

Allen Roy Sacharow was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 1980. Allen had worked at 12 firms and has passed the Series 63 and Series 7 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 23, 1997 - July 28, 2000

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

March 25, 1996 - August 1, 1997

RICKEL & ASSOCIATES, INC.

BD
CRD#: 7839
NEW YORK, NY
Past

March 23, 1995 - March 18, 1996

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

January 13, 1994 - March 15, 1995

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

December 1, 1992 - December 23, 1993

REICH & CO., INC.

BD
CRD#: 19611
Past

May 16, 1991 - December 1, 1992

REICH & CO., INC.

BD
CRD#: 3148
Past

January 12, 1990 - May 13, 1991

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

October 17, 1986 - January 9, 1990

JSC SECURITIES, INC.

BD
CRD#: 475
Past

June 21, 1984 - June 24, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

September 19, 1983 - July 17, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

October 22, 1981 - March 2, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

October 22, 1980 - September 11, 1981

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

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: 10/3/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1980
General Securities Representative Examination

Current Firm

TW
TRAUTMAN WASSERMAN & COMPANY, INC.
TRAUTMAN WASSERMAN & CO., INC. | TRAUTMAN, KRAMER & COMPANY, INC. | TRAUTMAN, KRAMER & COMPANY | TRAUTMAN WASSERMAN & COMPANY, INC.

CRD#: 33007 / SEC#: , 8-45755

BD
Revoked by SEC on 03/13/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/29/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRAUTMAN, GREGORY OWENCEO,CCO/ COMPLIANCE DIR/BRANCH MANAGER NY, CROP/SROP1837389
WASSERMAN, SAMUEL MORTONCHAIRMAN, PRESIDENT, SENIOR REGISTERED OPTIONS PRINCIPAL459653
BARBERA, MARKCOO, CFO1958117

Disclosures

Regulatory Event13
Arbitration4

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

TRAUTMAN WASSERMAN & COMPANY, INC.

CRD#: 33007

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