Allen A. Meyer
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 A Meyer, who also goes by Allen A Meyer III, Allen A (iii) Meyer, Allen Meyer, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1982. Allen had worked at 8 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 5 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
January 30, 2009 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
September 26, 2002 - December 4, 2008
NATIONAL FINANCIAL SERVICES LLC
April 3, 2000 - March 7, 2002
DAIWA CAPITAL MARKETS AMERICA INC.
July 14, 1997 - April 5, 2000
ABN AMRO INCORPORATED
July 21, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
July 21, 1989 - March 6, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 14, 1988 - March 6, 1995
LEHMAN BROTHERS INC.
December 4, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
November 24, 1982 - November 19, 1984
BECKER PARIBAS INCORPORATED
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
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/17/2024
Operations Professional ExaminationSeries 5
Date: 9/30/1982
Interest Rate Options ExaminationCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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