John C. Allison
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 Clive Allison, who also goes by John C Allison, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2004 - April 7, 2014
ANNASCAUL ADVISORS LLC
June 29, 1998 - July 29, 2002
UBS SECURITIES LLC
April 4, 1986 - June 29, 1998
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
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Exams
Current Firm
ANNASCAUL ADVISORS LLC
CRD#: 124349 / SEC#: , 8-65660
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
