Alan H. Wapnick
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 Howard Wapnick, who also goes by Alan H Wapnick, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1981. Alan had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2007 - June 27, 2019
STRATEGY ASSET MANAGERS L.L.C.
December 7, 1982 - March 25, 1991
MORGAN STANLEY DW INC.
April 13, 1981 - November 18, 1982
SELIGMAN SECURITIES, INC.
Primary Firm SEC Registration
STRATEGY ASSET MANAGERS L.L.C.
CRD#: 109939 / SEC#: 801-60049
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
Current Firm
STRATEGY ASSET MANAGERS L.L.C.
CRD#: 109939 / SEC#: 801-60049
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,099 |
| AUM (Assets Under Management) | $ 741,546,605 |
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.
