Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Wolberg is a financial advisor who has been active in the industry since 1993. Currently, Alan is registered with Jefferies Investment Advisers LLC. Previously, Alan was registered with City National Securities, Inc., First Republic Securities Company, LLC, and many other firms. Alan holds Series 6, 7, 24, 63, and 65 licenses. Alan provides financial planning services to individuals, families, and businesses. Alan is also a registered investment advisor and provides portfolio management services for individuals, families, and businesses.
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.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
05/24/2023 - Present
Jefferies Investment Advisers LLC (NEW YORK NY)
NY
06/05/2015 - 11/28/2022
CITY NATIONAL SECURITIES, INC. (NEW YORK NY)
MA
03/20/2015 - 04/06/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
NY
10/04/2012 - 02/25/2015
FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)
NY
03/12/2012 - 05/15/2012
GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)
NY
07/01/2010 - 01/27/2012
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
04/02/2007 - 01/15/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
02/16/2001 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
MA
01/03/2000 - 09/22/2000
SUN LIFE OF CANADA (U.S.) DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
NY
10/25/1996 - 10/29/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
AZ
04/10/1996 - 10/10/1996
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
DE
11/02/1993 - 04/09/1996
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
NY
10/18/1990 - 10/19/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
10/18/1990 - 10/19/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 10/22/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2010
Series 7 - General Securities Representative Examination
BC
Issued 10/16/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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
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