Vonna H. 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.
Vonna Hart Allen, who also goes by Vonna Ree Hart, Vonna Hart Langen, was a registered financial professional .
Vonna is a previously registered financial professional and started their career in finance in 1986. Vonna had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2012 - July 8, 2015
CAPITOL SECURITIES MANAGEMENT, INC.
November 10, 2011 - July 8, 2015
CAPITOL SECURITIES MANAGEMENT, INC.
February 16, 2001 - November 10, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 10, 1998 - February 16, 2001
CAPTRUST FINANCIAL ADVISORS, LLC
September 26, 1997 - March 23, 1998
MORGAN STANLEY DW INC.
December 20, 1996 - September 24, 1997
CITIGROUP GLOBAL MARKETS INC.
May 15, 1996 - January 15, 1997
ALEX. BROWN & SONS INCORPORATED
December 24, 1992 - May 31, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 14, 1989 - January 14, 1993
LEHMAN BROTHERS INC.
March 31, 1989 - June 22, 1989
CAPITAL RESEARCH CORPORATION
September 26, 1986 - April 15, 1987
JOHNSON, LANE, SPACE, SMITH & CO., INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
Series 8
Date: 5/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 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.
