Renee M. 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.
Renee Mclaughlin Allen, who also goes by Renee Lanelle Allen, Renee Lanelle Mclaughlin, was a registered financial professional .
Renee is a previously registered financial professional and started their career in finance in 1987. Renee had worked at 14 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, Series 57TO, Series 72, SIE, Series 7, Series 27, Series 53, Series 4 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 4, 2010 - May 27, 2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
May 29, 2003 - May 31, 2023
WELLS FARGO SECURITIES, LLC
October 1, 1999 - June 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
December 19, 1994 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
August 23, 1993 - September 1, 1994
FIMCO SECURITIES GROUP, INC.
August 17, 1993 - August 17, 1994
COMERICA FINANCIAL SERVICES, INC.
June 30, 1992 - February 10, 1993
COMERICA SECURITIES
March 30, 1992 - June 30, 1992
COMERICA BROKERS, INC.
May 14, 1990 - March 16, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 18, 1989 - March 16, 1992
SUNAMERICA SECURITIES, INC.
October 28, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
February 17, 1988 - November 7, 1988
INSTITUTIONAL ASSET MANAGEMENT
May 21, 1987 - February 1, 1988
AVANTAX INVESTMENT SERVICES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
