Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Marc Rezak is a registered investment advisor with Alps Distributors, Inc., a firm with a branch office in New York, NY. Adam has been in the industry since March 19, 1997, and has worked with a number of firms over the years including Guggenheim Investor Services, LLC, Swiss American Securities Inc., HSBC Brokerage (USA) Inc., National Discount Brokers, and Investors Associates, Inc.. Adam has also passed a variety of exams, including the Series 65, Series 63, Series 53, Series 14, Series 9, Series 10, Series 4, Series 24, Series 99TO, SIE, and Series 7. Adam is registered in New York and Pennsylvania.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
08/04/2014 - Present
Alps Distributors, Inc. (NEW YORK NY)
NY
11/20/2007 - 12/12/2013
GUGGENHEIM INVESTOR SERVICES, LLC (NEW YORK NY)
NY
02/23/2000 - 07/19/2007
SWISS AMERICAN SECURITIES INC. (NEW YORK NY)
NY
05/03/1999 - 02/10/2000
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NE
08/08/1995 - 07/10/1998
NATIONAL DISCOUNT BROKERS (OMAHA NE)
NJ
05/25/1995 - 09/07/1995
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
IA
Issued 01/28/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/01/2001
Series 14 - Compliance Officer Examination
BC
Issued 01/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/17/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/1996
Series 4 - Registered Options Principal Examination
BC
Issued 05/13/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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