Leeroy N. Allen
Professional summary
Leeroy None Allen JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leeroy is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Leeroy had worked at 7 firms, which includes AMERICAN INVESTMENT SERVICES INC., DONALD & CO. SECURITIES INC., THE CAMELOT GROUP INC., SUTRO & CO. INCORPORATED, FIRST ASSET MANAGEMENT INC., WESTERN FEDERAL GROUP, CHELSEA STREET SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2001 - December 31, 2001
AMERICAN INVESTMENT SERVICES, INC.
November 19, 1999 - January 3, 2001
DONALD & CO. SECURITIES INC.
October 23, 1997 - November 2, 1999
THE CAMELOT GROUP, INC.
March 15, 1997 - November 10, 1997
SUTRO & CO. INCORPORATED
June 7, 1994 - March 26, 1997
FIRST ASSET MANAGEMENT, INC.
January 24, 1994 - June 6, 1994
WESTERN FEDERAL GROUP
March 1, 1993 - February 16, 1994
FIRST ASSET MANAGEMENT, INC.
July 23, 1992 - March 1, 1993
CHELSEA STREET SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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