Alan Kleinberg is a CFP-designated registered investment advisor, based in Lake Success, NY, with 25 years of industry experience.
Location
3 Dakota Drive, Suite 310, Lake Success, NY, 11042
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Captrust
October 2018 - Present · 7 yrs 6 mos
Capfinancial Securities, LLC.Broker
October 2018 - Present · 7 yrs 6 mos
Previous Registrations
First Capital Equities,ltd.Broker
July 2002 - November 2018 · 16 yrs 4 mos
Trinix Securities LLCBroker
February 2002 - June 2002 · 4 mos
Andover Brokerage, L.L.C.Broker
January 2002 - February 2002 · 1 mo
Trinix Securities LLCBroker
July 2001 - January 2002 · 6 mos
J.P.R. Capital CORP.Broker
January 1998 - February 1998 · 1 mo
David Lerner Associates, INC.Broker
November 1994 - December 1995 · 1 yr 1 mo
State Registrations8 states
CTFLKYMANJNYTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.