Carroll L. 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.
Carroll Lynn Allen was a registered financial professional .
Carroll is a previously registered financial professional and started their career in finance in 1983. Carroll had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2009 - March 14, 2019
JANNEY MONTGOMERY SCOTT LLC
June 13, 2003 - March 14, 2019
JANNEY MONTGOMERY SCOTT LLC
June 21, 2002 - June 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 20, 2002 - June 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - June 20, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - June 20, 2002
WACHOVIA SECURITIES, INC.
November 19, 1997 - June 15, 2002
WACHOVIA SECURITIES, INC.
December 13, 1990 - November 19, 1997
LEGG MASON WOOD WALKER, INCORPORATED
September 12, 1988 - December 21, 1990
LEHMAN BROTHERS INC.
March 7, 1985 - September 19, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
January 7, 1983 - March 20, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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 8
Date: 3/10/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
