Brenda D. 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.
Brenda Dyer Allen, who also goes by Brenda Kay Dyer, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 1993. Brenda had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE 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
December 2, 2009 - January 8, 2025
SENDERO SECURITIES, LLC
December 5, 2007 - January 8, 2025
SENDERO WEALTH MANAGEMENT, LLC
April 30, 2001 - December 4, 2007
HITHERLANE PARTNERS, LLC
April 30, 2001 - August 6, 2008
HITHERLANE PARTNERS, LLC
December 6, 1995 - April 24, 2001
UBS FINANCIAL SERVICES INC.
April 19, 1994 - December 19, 1995
CITIGROUP GLOBAL MARKETS INC.
November 30, 1993 - March 1, 1994
NATIONSSECURITIES
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SENDERO SECURITIES, LLC
CRD#: 146627 / SEC#: , 8-67834
Contact information
FINRA licenses (1 States and Territories)
Red Flags
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