Allison B. Stiefel
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.
Allison Beth Stiefel, who also goes by Allison Beth Krom, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1983. Allison had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55 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
January 6, 2011 - August 11, 2011
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
July 7, 2006 - October 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2002 - July 7, 2006
WAVE SECURITIES, LLC
October 4, 2001 - December 6, 2001
MELVIN SECURITIES, L.L.C.
March 24, 2000 - August 29, 2001
WILSON-DAVIS & CO., INC.
May 13, 1999 - December 7, 1999
WELLS FARGO CLEARING SERVICES, LLC
September 28, 1994 - September 11, 1997
UBS CAPITAL MARKETS L.P.
July 31, 1984 - March 28, 1994
UBS CAPITAL MARKETS L.P.
January 20, 1983 - July 19, 1984
THOMSON MCKINNON SECURITIES INC.
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 55
Date: 6/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
Red Flags
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