Allen M. Fiore
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 Marshall Fiore was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1982. Allen had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2024 - August 7, 2024
J.H. DARBIE & CO., INC.
October 29, 2017 - April 29, 2024
E1 ASSET MANAGEMENT, INC.
January 11, 2010 - November 30, 2017
DOO FINANCIAL US, INC.
March 28, 1988 - December 31, 2009
THE INVESTMENT CENTER, INC.
January 4, 1984 - April 14, 1988
LEHMAN BROTHERS INC.
April 29, 1982 - December 19, 1983
FINANCIAL ESTATE PLANNING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
