Kent T. 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.
Kent Thomas Allen was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1985. Kent had worked at 9 firms and has passed the Series 63, 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 18, 1996 - February 26, 1997
LLOYD WADE SECURITIES INC.
October 12, 1994 - November 28, 1994
DISCOVERY CAPITAL GROUP
September 8, 1992 - October 9, 1992
DISCOVERY CAPITAL GROUP
October 5, 1990 - October 17, 1990
FAIRCHILD FINANCIAL GROUP, INC.
June 6, 1989 - September 25, 1990
MLB INVESTMENTS, LTD.
June 29, 1988 - June 12, 1989
ANDERSON, BRYANT & CO.
January 28, 1988 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
August 20, 1987 - February 8, 1988
GREAT LAKES EQUITIES CO.
November 24, 1986 - August 19, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
August 9, 1985 - December 4, 1986
THE STUART-JAMES COMPANY, INCORPORATED
July 23, 1985 - August 19, 1985
F.D. ROBERTS SECURITIES, 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
Current Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
Red Flags
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