Ann I. Allen
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.
Ann I Allen, who also goes by Ann Ilene Allen, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1982. Ann had worked at 4 firms and has passed the Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2005 - March 8, 2005
SANDGRAIN SECURITIES LLC
December 4, 1997 - May 11, 2005
MORGAN STANLEY DW INC.
November 11, 1983 - November 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 1982 - November 1, 1983
SUTTON PLACE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| 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.
