Alan L. Sachs
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 Lester Sachs was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1976. Alan had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2014 - December 11, 2015
TRICOR ADVISORY SERVICES, LLC
April 3, 2014 - November 13, 2015
TRICOR FINANCIAL, LLC
December 23, 2009 - April 5, 2012
TRICOR FINANCIAL, LLC
August 25, 1994 - May 30, 2003
COMMONWEALTH FINANCIAL NETWORK
July 31, 1993 - August 4, 1994
CITIGROUP GLOBAL MARKETS INC.
July 25, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
April 21, 1982 - July 24, 1985
E. F. HUTTON & COMPANY INC
December 17, 1979 - May 13, 1982
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - December 16, 1979
LEHMAN BROTHERS INC.
July 11, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
May 20, 1976 - July 17, 1977
REYNOLDS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TRICOR ADVISORY SERVICES, LLC
CRD#: 141775 / SEC#: 801-67209
Contact information
Red Flags
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