Raymond N. 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.
Raymond Neil Allen, who also goes by Neil Allen, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1986. Raymond had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2018 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 11, 2016 - December 31, 2017
HARVEST INVESTMENT SERVICES, LLC
January 8, 2002 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2002 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 23, 2001 - December 31, 2001
ONEAMERICA SECURITIES, INC.
March 1, 2000 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
March 9, 1999 - May 7, 2001
LONDON PACIFIC SECURITIES, INC.
June 11, 1997 - March 19, 1999
PENSION PLANNERS SECURITIES, INC.
June 16, 1994 - July 29, 1997
SECURITIES AMERICA, INC.
May 12, 1986 - June 28, 1994
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
