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DA

Douglass B. Allen

CRD#: 1570103
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DA
Douglass Benjamin 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.

Douglass Benjamin Allen, who also goes by Doulass Benjamin Allen, was a registered financial professional .

Douglass is a previously registered financial professional and started their career in finance in 1986. Douglass had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doulass Benjamin Allen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 19, 2018 - November 2, 2021

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

October 6, 2008 - June 1, 2026

OCM INVESTMENTS, LLC

BD
CRD#: 128803
LOS ANGELES, CA
Past

December 27, 2000 - September 30, 2008

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 106546
LOS ANGELES, CA
Past

November 14, 2000 - September 30, 2008

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

May 18, 1994 - August 31, 2000

FIRST FUND DISTRIBUTORS, INC.

BD
CRD#: 27038
PHOENIX, AZ
Past

July 29, 1991 - September 7, 1993

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

October 19, 1989 - July 23, 1991

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

November 16, 1988 - September 9, 1989

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

November 12, 1986 - November 2, 1988

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/2/2012
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IB
INDEPENDENT BROKERAGE SOLUTIONS LLC
INDEPENDENT BROKERAGE SOLUTIONS LLC | SDDCO BROKERAGE ADVISORS LLC

CRD#: 153563 / SEC#: , 8-68549

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
485 Madison Avenue 15th Floor, New York, NY 10022
Mailing Address
485 Madison Avenue 15th Floor, New York, NY 10022
Phone number
(212) 751-4424
Established
New York since 12/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DFP PARTNERS CPA, P.C.MEMBER
FORTINO, ANGELINAFINOP/ PFO/CFO6869135
STEINBERG, MICHAEL NMNCEO/CCO1062776

Disclosures

Regulatory Event1

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.

Company Information

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

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