Alan D. Diskin
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 D Diskin, who also goes by Alan David Diskin, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1978. Alan had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2014 - August 20, 2015
MUTUAL OF AMERICA SECURITIES LLC
July 15, 2014 - August 20, 2015
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 12, 2013 - May 19, 2014
MSI FINANCIAL SERVICES, INC.
September 15, 1999 - December 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
August 15, 1991 - October 20, 1999
MONY SECURITIES CORPORATION
August 24, 1990 - August 12, 1991
GUARDIAN INVESTOR SERVICES LLC
November 14, 1989 - February 23, 1990
IDS LIFE INSURANCE COMPANY
November 14, 1989 - February 23, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
April 4, 1986 - December 5, 1989
SIGNATOR INVESTORS, INC.
October 10, 1984 - April 16, 1986
HIMCO DISTRIBUTION SERVICES COMPANY
June 19, 1983 - March 21, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 18, 1978 - November 29, 1980
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 18, 1978 - November 29, 1980
MONY SECURITIES CORPORATION
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 1
Date: 7/11/1978
Registered Representative ExaminationCurrent Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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