Alan Gilmore

Alan received his B.A. in Economics from Dickinson College, 1989 and his Juris Doctorate from Rutgers School of Law, Camden 1997. Mr. Gilmore is a member of the New Jersey and Pennsylvania State Bars as well as the US District Court of New Jersey and Eastern District of Pennsylvania. Mr. Gilmore is a member of the Public Investors Arbitration Bar Association. Mr. Gilmore has passed his Series 7, 9,10,23,53 and 66 and has a New Jersey Life and Health Insurance License.

As a former regulator/investigative attorney with the New Jersey Bureau of Securities , Alan investigated and assisted the New Jersey Attorney General’s office in the prosecution of multiple securities fraud actions. After that, Alan practiced law at a large law firm focusing on investment advisory and broker dealer regulatory and compliance issues and FINRA arbitration matters. Alan then worked as a compliance attorney with two global investment banking firms, Morgan Stanley and Goldman Sachs & Co.

For the past twelve (12) years, Alan’s has created a boutique practice providing legal, consulting and CCO services to registered SEC investment advisory firms and FINRA broker-dealers.