Richard P. 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.
Richard Phillip Allen was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2016 - November 10, 2016
BIC DISTRIBUTORS, LLC
March 26, 2010 - March 6, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 18, 2008 - April 3, 2009
RIVERSOURCE DISTRIBUTORS, INC.
April 3, 2006 - January 9, 2008
AUGUSTAR DISTRIBUTORS, INC.
December 31, 2000 - January 13, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 11, 1998 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
June 17, 1992 - August 7, 1998
HORNOR, TOWNSEND & KENT, LLC
May 18, 1990 - June 10, 1992
IAC SECURITIES, INC.
March 10, 1989 - October 23, 1989
FINANCIAL HORIZONS SECURITIES CORPORATION
September 24, 1986 - January 23, 1989
INVEST FINANCIAL CORPORATION
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
BIC DISTRIBUTORS, LLC
CRD#: 152860 / SEC#: , 8-68484
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.
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