Laurence G. Allen
Professional summary
Laurence Geoffrey Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Laurence is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Laurence had worked at 5 firms, which includes ACP INVESTMENT GROUP LLC, NYPPEX LLC, NORTHEAST SECURITIES LLC, J.P. MORGAN SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2000 - December 23, 2014
ACP INVESTMENT GROUP, LLC
November 29, 1999 - September 23, 2022
NYPPEX, LLC
April 21, 1998 - December 14, 1999
NORTHEAST SECURITIES, LLC
November 10, 1992 - May 6, 1998
J.P. MORGAN SECURITIES LLC
September 24, 1982 - November 24, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 9/24/1982
Interest Rate Options ExaminationCurrent Firm
ACP INVESTMENT GROUP, LLC
CRD#: 127443 / SEC#: 801-113381
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Florida | ERA - Withdrawn | 5/4/2018 |
| New York | ERA - Withdrawn | 5/4/2018 |
Red Flags
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