Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Ertel is a financial advisor registered with J.P. Morgan Securities LLC. Alan has over 30 years of experience in the financial services industry. Alan has been registered with J.P. Morgan Securities LLC since 2008. Prior to that, Alan was registered with Lehman Brothers Inc., SG Cowen Securities Corporation, and Cowen & Co. Alan offers a variety of financial services to individuals, businesses, and institutions. These services include financial planning, portfolio management, and investment advisory services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
03/09/2020 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
10/13/2000 - 07/01/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/01/1998 - 10/18/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
01/04/1996 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NY
02/23/1988 - 02/01/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
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
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, 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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