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AB

Allen A. Buchalter

Some features on this profile are disabled
CRD#: 1007284
AB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Allen Arthur Buchalter was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 1981. Allen had worked at 5 firms and has passed the Series 63, Series 6, Series 2, Series 22 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 8, 2004 - December 31, 2004

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA
Past

September 24, 2001 - September 30, 2003

PRIMEX

BD
CRD#: 29394
NEW YORK, NY
Past

December 13, 2000 - October 16, 2001

ARGUS SECURITIES, INC.

BD
CRD#: 7400
HALLANDALE, FL
Past

December 6, 1983 - January 6, 1986

ALLEN A. BUCHALTER ASSOCIATES,INC.

BD
CRD#: 13287
Past

December 14, 1981 - July 30, 1982

HI SECURITIES, INC.

BD
CRD#: 4233

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/6/2000
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 6/10/1982
Non-Member General Securities Examination
General Industry/Product Exam
RR
Series 22
Date: 2/11/1981
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/21/2001
Investment Company Products/Variable Contracts Principal Examination

Current Firm

DB
DUNWOODY BROKERAGE SERVICES, INC.
DUNWOODY BROKERAGE SERVICES, INC.

CRD#: 31183 / SEC#: , 8-45423

BD
Cancelled by SEC on 04/26/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 12/07/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRONNUM, DWIGHT BENNOSECRETARY703299
HOPKINS, ROBERT LEEPRESIDENT249943

Disclosures

Regulatory Event1
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DUNWOODY BROKERAGE SERVICES, INC.

CRD#: 31183

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