Helen 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.
Helen Christine Allen was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1985. Helen had worked at 6 firms and has passed the Series 63, SIE, Series 3 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 3, 2012 - December 11, 2015
NATIONAL SECURITIES CORPORATION
October 3, 2008 - April 5, 2012
OSAIC FS, INC.
August 18, 2005 - October 14, 2008
CETERA WEALTH SERVICES, LLC
January 7, 2004 - August 25, 2005
FIRST MONTAUK SECURITIES CORP.
October 13, 1997 - January 16, 2004
CITIGROUP GLOBAL MARKETS INC.
August 4, 1986 - October 15, 1997
MORGAN STANLEY DW INC.
December 17, 1985 - July 24, 1986
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
