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.