Alan J. Fishman
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 Jay Fishman was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2008 - December 3, 2014
NATIONAL PLANNING CORPORATION
December 8, 2008 - December 3, 2014
NATIONAL PLANNING CORPORATION
October 31, 2005 - December 15, 2008
OSAIC SERVICES, INC.
October 31, 2005 - December 15, 2008
OSAIC SERVICES, INC.
January 30, 2004 - October 31, 2005
SENTRA SECURITIES CORPORATION
December 12, 2003 - October 31, 2005
SENTRA SECURITIES CORPORATION
March 14, 2002 - November 21, 2003
PIPER SANDLER & CO.
March 4, 2002 - November 21, 2003
PIPER SANDLER & CO.
September 1, 1999 - March 27, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 27, 1995 - August 27, 1999
FIRST WALL STREET CORP.
January 21, 1993 - February 28, 1995
UBS FINANCIAL SERVICES INC.
March 15, 1989 - February 3, 1993
SUTRO & CO. INCORPORATED
April 1, 1986 - March 29, 1989
PRUDENTIAL EQUITY GROUP, LLC
February 6, 1984 - April 14, 1986
M.L. STERN & CO., LLC.
November 21, 1983 - February 9, 1984
SECURITIES RESOLUTION CORPORATION
March 28, 1983 - January 9, 1984
CALIFORNIA MUNICIPAL INVESTORS, INC.
February 14, 1983 - April 14, 1983
CITIGROUP GLOBAL MARKETS INC.
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
