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Alan Gerard Purtell

Barclays Capital Inc.

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About Alan Gerard Purtell

Alan Gerard Purtell is a financial advisor in New York, New York. Alan has been in the securities industry since January 8, 2009, and currently works for Barclays Capital Inc. Alan has passed the Series 7, Series 24, and Series 66 exams. Alan has previously worked for firms like ITG INC., Merrill Lynch, Pierce, Fenner & Smith Incorporated, E*TRADE SECURITIES LLC, E*TRADE CLEARING LLC, Chase Investment Services Corp., and AXA Advisors, LLC.

Firm Information

Alan Purtell is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Alan Purtell’s Registration & Firm History

NY

09/06/2019 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

06/06/2017 - 04/03/2018

ITG INC. (NEW YORK NY)

NY

01/02/2014 - 05/25/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

05/23/2011 - 10/22/2012

E*TRADE SECURITIES LLC (JERSEY CITY NJ)

NJ

07/14/2008 - 05/23/2011

E*TRADE CLEARING LLC (JERSEY CITY NJ)

NY

09/08/2006 - 07/16/2008

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

NY

05/17/2006 - 09/13/2006

AXA ADVISORS, LLC (LAKE SUCCESS NY)

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Licenses & Designations

BOTH

Issued 06/22/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/05/2009

Series 24 - General Securities Principal Examination

BC

Issued 04/03/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/16/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX 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

M

MIAX PEARL, LLC

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

Disclosures

There are no public disclosures for Alan Gerard Purtell.
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