Charlie R. 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.
Charlie Roy Allen JR, who also goes by Charlie Roy Allen, was a registered financial professional .
Charlie is a previously registered financial professional and started their career in finance in 1987. Charlie had worked at 5 firms and has passed the Series 63 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
March 29, 1993 - October 4, 1993
JOSEPH ROBERTS & CO., INC.
November 25, 1991 - October 5, 1992
FIRST TRUST PORTFOLIOS L.P.
April 25, 1990 - June 28, 1990
MSI FINANCIAL SERVICES, INC.
October 14, 1989 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
January 24, 1989 - April 25, 1990
UR FINANCIAL, INC.
September 24, 1987 - February 10, 1989
CLAYTON BROWN & ASSOCIATES, 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
JOSEPH ROBERTS & CO., INC.
CRD#: 15971 / SEC#: , 8-33022
Contact information
Documents
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.
