Alan J. Fried
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 Jay Fried was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1980. Alan had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 52, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2013 - May 17, 2013
DAVID LERNER ASSOCIATES, INC.
July 29, 2011 - November 9, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 13, 2011 - November 9, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 22, 2003 - October 21, 2004
RAYMOND JAMES & ASSOCIATES, INC.
June 25, 2001 - December 14, 2001
CONSECO SECURITIES, INC.
October 1, 2000 - May 22, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 21, 1999 - July 21, 2000
RAYMOND JAMES & ASSOCIATES, INC.
October 30, 1997 - December 31, 1998
COMMONWEALTH FINANCIAL NETWORK
April 19, 1995 - October 29, 1997
J. B. HANAUER & CO.
October 12, 1994 - March 24, 1995
UBS FINANCIAL SERVICES INC.
April 29, 1992 - October 7, 1994
CIBC WORLD MARKETS CORP.
May 9, 1991 - April 21, 1992
WORLD INVEST CORPORATION
August 15, 1990 - February 27, 1991
G. R. PHELPS & CO., INC.
October 5, 1989 - July 11, 1990
LEHMAN BROTHERS INC.
December 5, 1986 - October 12, 1989
J. B. HANAUER & CO.
October 11, 1984 - December 10, 1986
HALPERT AND COMPANY, INC.
March 31, 1982 - October 26, 1984
MORGAN STANLEY DW INC.
October 29, 1980 - March 30, 1982
J. B. HANAUER & CO.
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 8
Date: 10/5/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
