Allen H. Lemke
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 Howard Lemke, who also goes by Al Lemke, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1985. Allen had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 26 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
December 19, 2002 - September 20, 2018
STATE FARM VP MANAGEMENT CORP.
June 20, 2001 - November 15, 2002
NYLIFE SECURITIES LLC
March 6, 2001 - May 25, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 16, 1999 - February 15, 2001
GMAC INVESTMENT SERVICES, INC.
November 26, 1996 - December 23, 1998
MAGNA INVESTMENTS
July 12, 1994 - December 2, 1996
ESSEX NATIONAL SECURITIES, LLC
April 11, 1991 - July 6, 1994
AEGON USA SECURITIES INC.
July 18, 1990 - April 12, 1991
HORNOR, TOWNSEND & KENT, LLC
June 5, 1989 - July 11, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
June 5, 1989 - July 11, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 19, 1987 - June 6, 1989
HORNOR, TOWNSEND & KENT, LLC
February 5, 1986 - November 3, 1987
PIPER SANDLER & CO.
June 21, 1985 - June 6, 1989
HORNOR, TOWNSEND & KENT, LLC
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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
