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Alan Mark Kleinberg

Captrust

Lake Success, NY

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Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-02-03
CT RA APPROVED 2020-08-17
TX RA APPROVED 2019-07-05
  • NY RA
    APPROVED
    Since 2021-02-03
  • CT RA
    APPROVED
    Since 2020-08-17
  • TX RA
    APPROVED
    Since 2019-07-05

Branch Locations

3 Dakota Drive Suite 310, Lake Success, NY 11042 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Capital Equities Great Neck NY 06/2002 09/2018
First Capital Consulting, Inc. Great Neck NY 06/2002 09/2018
Fc Equities, Ltd. Great Neck NY 01/2006 09/2018
Fce Group, Inc. Great Neck NY 06/2002 09/2018
Capfinancial Securities Llc Raleigh NC 10/2018 Present
Capfinancial Partners Llc (Captrust) Raleigh NC 10/2018 Present
  • 06/2002 → 09/2018
    First Capital Equities
    Great Neck, NY
  • 06/2002 → 09/2018
    First Capital Consulting, Inc.
    Great Neck, NY
  • 01/2006 → 09/2018
    Fc Equities, Ltd.
    Great Neck, NY
  • 06/2002 → 09/2018
    Fce Group, Inc.
    Great Neck, NY
  • 10/2018 → Present
    Capfinancial Securities Llc
    Raleigh, NC
  • 10/2018 → Present
    Capfinancial Partners Llc (Captrust)
    Raleigh, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-10-23
  • S63 Uniform Securities Agent State Law Examination
    2009-10-23
Designations

View on SEC IAPD

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CITIZENS SECURITIES, INC.
HSBC SECURITIES (USA) INC.
CITIGROUP GLOBAL MARKETS INC.
RAYMOND JAMES & ASSOCIATES, INC.
LPL FINANCIAL LLC

Other Investors

KLAUDIAN MOLOSIU
Jeffrey Samuel Thurm
Antonio Graziosi
Fred Sloan
Michael Lenzo
Ashley Brooke Starr
Lindsay Ann Abrahams
Veronica Karas

Other Offices

J.P. MORGAN SECURITIES LLC · NEW HYDE PARK, NY
J.P. MORGAN SECURITIES LLC · NEW HYDE PARK, NY
DAVIDOV FINANCIAL COACHING, LLC · NEW HYDE PARK, NY
MATRIX PRIVATE WEALTH MANAGEMENT INC. · LAKE SUCCESS, NY
CITIZENS SECURITIES, INC. · NEW HYDE PARK, NY
HSBC SECURITIES (USA) INC. · NEW HYDE PARK, NY
CITIGROUP GLOBAL MARKETS INC. · New Hyde Park, NY
RAYMOND JAMES & ASSOCIATES, INC. · New Hyde Park, NY

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