Allen L. Cairns
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 Lord Cairns was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1983. Allen had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2009 - January 15, 2019
JOHN HANCOCK DISTRIBUTORS LLC
January 2, 2003 - November 17, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 15, 2000 - November 14, 2002
OSAIC FS, INC.
January 4, 1999 - March 22, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 2, 1987 - December 31, 1998
NEW ENGLAND SECURITIES
May 29, 1986 - July 6, 1987
USLIFE EQUITY SALES CORP.
November 27, 1984 - June 18, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
November 27, 1984 - July 15, 1986
AETNA FINANCIAL SERVICES, INC.
March 11, 1983 - October 26, 1984
PRUCO SECURITIES, LLC.
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
Current Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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