William C. 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.
William Clair Allen, who also goes by Bill Allen, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2012 - August 31, 2012
LAUREL WEALTH ADVISORS, INC.
September 27, 2011 - December 16, 2011
FINANCIAL WEST GROUP
September 27, 2011 - December 16, 2011
FINANCIAL WEST GROUP
May 29, 2007 - September 26, 2011
WEDBUSH SECURITIES INC.
August 5, 2003 - September 26, 2011
WEDBUSH SECURITIES INC.
May 13, 2003 - August 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 9, 1998 - August 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 2, 1994 - November 11, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1985 - December 13, 1994
CITIGROUP GLOBAL MARKETS 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 15
Date: 12/9/1985
Foreign Currency Options ExaminationCurrent Firm
LAUREL WEALTH ADVISORS, INC.
CRD#: 157139 / SEC#: 801-72334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,198 |
| AUM (Assets Under Management) | $ 2,383,239,170 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
