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Financial Information, Money Matters: Investing Basics: Investment Products and Financial Professionals


Alan E. Sorcher, Securities and Exchange Commission, gives an overview of the different types of investment products and financial professionals.  Learn about the considerations and questions to ask before investing and choosing a financial professional.

Alan E. Sorcher is an Assistant Director in the Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA).   Alan assists OIEA in its mission to inform and educate investors on frauds and other information relevant to investing in securities.  

Alan joined the SEC from Deloitte Financial Advisory Services where he was a Director advising financial institutions on anti-money laundering and financial crime compliance.   Earlier in his career, Alan was a Branch Chief in the SEC’s Division of Enforcement.  Alan spent almost ten years as a Managing Director and Associate General Counsel at the Securities Industry and Financial Markets Association and also served as a Senior Advisor at Treasury’s Financial Crimes Enforcement Network and Senior Counsel at the Federal Reserve Board.  Alan holds a B.A. from the University of Pennsylvania and a J.D. from the Boston University School of Law.  

Part of Financial Empowerment Day at SIBL!


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