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AB

Alan F. Bollinger

FTP SECURITIES LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 7578386
AB

Professional summary

Alan Frank Bollinger JR, who also goes by Aj Bollinger, Alan Frank Bollinger, is a registered financial professional currently at FTP SECURITIES LLC located in New York, New York.

Alan is registered as a RR (Registered Representative) and started their career in finance in 2024. Alan has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aj Bollinger | Alan Frank Bollinger

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) - BD

Click below to view Alan Frank Bollinger JR's CRS (Customer Relationship Summary).

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

Current

February 7, 2024 - Present

FTP SECURITIES LLC

Office #1: 90 Park Ave 16th Floor, New York, NY 10016
BD
CRD#: 129356
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/7/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/19/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FTP SECURITIES LLC
FTP SECURITIES LLC

CRD#: 129356 / SEC#: , 8-66218

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
100 California Street 7th Floor, San Francisco, CA 94111
Mailing Address
100 California Street 7th Floor, San Francisco, CA 94111
Phone number
(415) 512-8700
Established
Delaware since 06/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FINANCIAL TECHNOLOGY PARTNERS LPSOLE MEMBER
ALLEN, DAN LOWELL JR.GENERAL COUNSEL & CCO7025803
KOIKE, SAORIFINOP5605898
MCLAUGHLIN, STEVEN JOSEPHMANAGING PARTNER AND CEO2649480

Disclosures

Regulatory Event1

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

FTP SECURITIES LLC

CRD#: 129356New York, NY 10016

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