Moshe Alpert: Vanderbilt Advisor Resigned from Northwestern Mutual

Far Rockaway, New York financial advisor Moshe Alpert (CRD# 6433535) recently resigned from his former member firm amid allegations that he violated internal policies. Financial Industry Regulatory Authority records show that the former Northwestern Mutual representative is currently registered as a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively.

Mr. Alpert’s BrokerCheck report discloses his resignation from Northwestern Mutual. Filed in August 2026, the disclosure states that he was “permitted to resign” in connection with allegations that he violated electronic signature policies “by electronically signing non-variable insurance and investment account documents on behalf of multiple clients.”

Investors should be aware that FINRA Rule 2010 requires brokers like Mr. Alpert to “observe high standards of commercial honor and just and equitable principles of trade.” A number of types of unethical conduct, including the failure to comply with firm policies, may be considered violations of Rule 2010, provided the activities in question take place “in the conduct of [the member’s] business.” Representatives who violate FINRA Rule 2010 may be found liable in the event of losses in the customer’s account.

According to the Financial Industry Regulatory Authority, Moshe Alpert holds 11 years of securities industry experience. Based in Far Rockaway, New York, he has been registered as a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services since 2026. He was previously registered with Northwestern Mutual Investment Services. His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 20 state licenses. (Information current as of September 19, 2026.)

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