Allan P. Barnum
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.
Allan Phillips Barnum was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1970. Allan had worked at 7 firms and has passed the Series 63, PC, Series 1, Series 39 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1988 - April 3, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
March 25, 1987 - December 14, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 1984 - August 12, 1986
CODER - BOSSEN CORPORATION
June 12, 1973 - December 27, 1983
ALL AMERICAN MANAGEMENT CORPORATION
July 3, 1972 - June 4, 1973
BUSH AND COMPANY INCORPORATED
September 2, 1971 - July 28, 1972
LFK INCORPORATED
March 17, 1971 - September 21, 1971
ENTERPRISE FUND DISTRIBUTORS, INC.
November 20, 1970 - January 28, 1971
ALL AMERICAN MANAGEMENT CORPORATION
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
PC
Date: 7/15/1993
AMEX Put and Call ExamSeries 1
Date: 12/14/1966
Registered Representative ExaminationSeries 40
Date: 12/11/1968
Registered Principal ExaminationCurrent Firm
PRINCIPAL FINANCIAL SECURITIES,INC.
CRD#: 260 / SEC#: , 8-30519
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
