Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Finkelstein is a financial professional with over 29 years of experience in the industry. Alan is currently registered with Pershing LLC in New Jersey and New York. Prior to joining Pershing LLC, Alan has also worked at firms such as Weiss, Peck & Greer, LLC, Banc of America Securities LLC, Morgan Stanley & Co., Incorporated, Bear, Stearns & Co. Inc., Bear, Stearns Securities Corp. and Oppenheimer & Co., Inc.. Alan holds Series 7, Series 24, Series 52TO, Series 63, and Series 99TO licenses. Alan has been a registered representative since 1994.
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
NJ
04/10/2002 - Present
Pershing LLC (JERSEY CITY NJ)
MA
02/25/2000 - 04/01/2002
WEISS, PECK & GREER, L.L.C. (BOSTON MA)
NY
08/04/1998 - 01/31/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
09/24/1996 - 08/07/1998
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
03/01/1995 - 09/27/1996
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
02/21/1995 - 09/27/1996
BEAR, STEARNS SECURITIES CORP. (BROOKLYN NY)
NY
01/21/1994 - 07/19/1994
OPPENHEIMER & CO., INC. (NEW YORK NY)
BC
Issued 02/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2004
Series 24 - General Securities Principal Examination
BC
Issued 07/25/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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