Anthony W. 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.
Anthony William Allen was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 1987. Anthony had worked at 6 firms and has passed the Series 65, Series 63, 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
March 21, 2003 - December 31, 2006
CANTELLA & CO., INC.
January 18, 2002 - December 31, 2006
CANTELLA & CO., INC.
June 1, 1999 - January 11, 2002
CITIGROUP GLOBAL MARKETS INC.
June 13, 1996 - May 27, 1999
ROBERT W. BAIRD & CO. INCORPORATED
November 8, 1993 - June 10, 1996
JANNEY MONTGOMERY SCOTT LLC
January 1, 1991 - November 17, 1993
FIRST UNION CAPITAL MARKETS CORP.
April 21, 1987 - January 1, 1991
BUTCHER & SINGER INC.
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
