Albert M. Greenfield
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.
Albert Monroe Greenfield III, who also goes by Albert Monroe Greenfield, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1980. Albert had worked at 9 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1996 - November 12, 1997
FINANCIAL WEST GROUP
February 18, 1994 - December 19, 1994
VALLEY FORGE SECURITIES, INC .
January 22, 1992 - July 16, 1993
VALLEY FORGE SECURITIES, INC .
May 10, 1989 - November 22, 1991
CONNOR GREENFIELD SECURITIES CORPORATION
June 25, 1988 - March 13, 1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
June 14, 1988 - July 16, 1988
PRINTON, KANE GOVERNMENT SECURITIES, L.P.
May 24, 1988 - March 13, 1989
PRINTON KANE & CO., L.P.
October 14, 1986 - April 12, 1988
UBS SECURITIES LLC
September 16, 1985 - November 18, 1986
GOLDMAN SACHS & CO. LLC
November 20, 1980 - February 12, 1985
MORGAN STANLEY & CO. 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 5
Date: 3/16/1982
Interest Rate Options ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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