Dean S. 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.
Dean Stephen Allen was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1983. Dean had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
December 16, 2011 - January 2, 2013
BROWN BROTHERS HARRIMAN & CO.
July 27, 2007 - January 4, 2010
SCHRODER FUND ADVISORS LLC
December 7, 2000 - September 11, 2006
SANFORD C. BERNSTEIN & CO., LLC
August 25, 1992 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
January 1, 1990 - December 31, 1990
THE STAMFORD COMPANY, INC.
October 27, 1983 - July 27, 1989
LEHMAN BROTHERS INC.
October 19, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB 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
Current Firm
BROWN BROTHERS HARRIMAN & CO.
CRD#: 104487 / SEC#:
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BODMAN, TAYLOR STOCKWELL | PARTNER | 2589796 |
| DONAHUE, DOUGLAS AIDAN JR. | PARTNER | 2074744 |
| KLOTZ, RADFORD WERNER | PARTNER | 2615201 |
| LIVINGSTON, SUSAN CLARK | PARTNER | 2831394 |
| SCHOENFELD, JEFFREY ALAN | PARTNER | 2490214 |
| WITMER, RICHARD HOWELL JR. | PARTNER | 1900002 |
| BERK, THOMAS ERIC | PARTNER | 4906624 |
| BERRIS, BRIAN ADAMS | PARTNER | 2530603 |
| BORLAND, JOHN JAY | PARTNER | 2171439 |
| COOK, GEOFFREY MACKENZIE | PARTNER | 4599503 |
| CREPIN, JEAN MARC | PARTNER | 6442317 |
| GALINDO, DARIO | PARTNER | 2789910 |
| GEORGE, KATHRYN CAROLYN | PARTNER | 4308333 |
| HAM, RICHARD DAVID | FINANCIAL OPERATIONS PRINCIPAL | 5515226 |
| HARTCH, TIMOTHY EWING | PARTNER | 2941759 |
| HASHIMOTO, KYOSUKE | PARTNER | 4308983 |
| HUTSON, JOSHUA EYARE | CHIEF COMPLIANCE OFFICER | 2912952 |
| IZARD, CHARLES OWEN | PARTNER | 1131624 |
| KELLER, MICHAEL ROBERT | PARTNER | 4053994 |
| LONG, THOMAS MICHAEL | PARTNER | 2596442 |
| LYNCH, HAMPTON SIMPSON JR. | PARTNER | 2794116 |
| MCCONNELL, MICHAEL WALLACE | PARTNER | 1551375 |
| MESKIN, JEFFREY BRYAN | PARTNER | 2855280 |
| NAGAHISA, YUKINORI | PARTNER | 1921275 |
| NIELSEN, JOHN ANDREW | PARTNER | 2578064 |
| PAIRCEIR, SEAN | PARTNER | 5775877 |
| PAQUIN, JEAN-PIERRE | PARTNER | 4622088 |
| REMONDI, CHRISTOPHER CHARLES | PARTNER | 4308313 |
| ROBERTSON, ABRAM HEATON III | PARTNER | 2593686 |
| ROSENSWEIG, WILLIAM E. | PARTNER | 6019312 |
| STONE, KEVIN W | PARTNER | 2395249 |
| SULLIVAN, WILLIAM CARTER III | PARTNER | 2641535 |
| TUCKER, ANDREW JAMES FRANCIS | PARTNER | 2588190 |
| TYREE, WILLIAM BROPHY | PARTNER | 2743965 |
| VELEZ, MAROA DEL CARMEN | PARTNER | 5469051 |
| WHELAN, WILLIAM JOSEPH JR. | PARTNER | 2588916 |
Disclosures
| Regulatory Event | 3 |
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.
