Allen David Greenberg
Professional Summary
Allen David Greenberg is a registered financial advisor currently at MATRIX EXECUTIONS, LLC located in Chicago , Illinois. Allen is registered as a RR (Registered Representative) and started their career in finance in 1985. Allen has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 7, Series 28, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
ITG DERIVATIVES LLC. | YOURTRADE.COM SECURITIES, INC. | REDSKY SECURITIES, LLC | REDSKY SECURITIES, INC. | REDSKY FINANCIAL, LLC | MATRIX EXECUTIONS, LLC | LAKE KATHERINE SECURITIES, LTD.
Contact Information
Main Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604Mailing Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604Phone Number
(312) 334-8040Established
Illinois since 02/14/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (30 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/16/2021)
(3/16/2021)
(2/14/2018)
(3/16/2021)
(3/16/2021)
(3/16/2021)
(3/16/2021)
(8/20/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2018About the Series 28 examSRO Registrations
SRO Registrations
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SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Allen David Greenberg's CRS (Customer Relationship Summary).
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