John G. 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.
John Glenn Allen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 63, SIE, Series 6 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
April 27, 2018 - July 17, 2020
MUTUAL OF AMERICA SECURITIES LLC
April 27, 2018 - July 17, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 10, 2008 - December 21, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 19, 2005 - December 20, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
March 2, 2004 - June 3, 2004
COUNTRY CAPITAL MANAGEMENT COMPANY
May 2, 1996 - October 2, 1996
FIRSTAR INVESTMENT SERVICES,INC.
May 31, 1994 - June 23, 1995
INVEST FINANCIAL CORPORATION
April 20, 1994 - July 27, 1995
NORTHERN TRUST SECURITIES, INC.
March 2, 1992 - April 21, 1994
WELLS FARGO CLEARING SERVICES, LLC
May 20, 1986 - September 3, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 1, 1986 - March 9, 1992
INVESTORS BROKERAGE SERVICES, INC.
February 22, 1985 - February 3, 1986
RESOURCE DEVELOPMENT INTERNATIONAL, LTD.
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
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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