Mark D. Allen
Professional summary
Mark David Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Mark had worked at 2 firms, which includes LIBERTY LIFE SECURITIES LLC, IFMG SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 1999 - November 16, 2001
LIBERTY LIFE SECURITIES LLC
November 25, 1987 - December 1, 1999
IFMG SECURITIES, 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
LIBERTY LIFE SECURITIES LLC
CRD#: 47737 / SEC#: , 8-51893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIBERTY LIFE ASSURANCE COMPANY OF BOSTON | MEMBERSHIP UNITHOLDER | |
| BARON, ANDREW JAMES | CO-CCO | 2684150 |
| DAUKSEWICZ, WILLIAM JOSEPH | BOARD OF MANAGERS | 1059039 |
| DAUKSEWICZ, WILLIAM JOSEPH | PRESIDENT | 1059039 |
| DAUKSEWICZ, WILLIAM JOSEPH | SUPERVISORY PRINCIPAL | 1059039 |
| GOULD, KENNETH WILLIAM JR | CO-CCO | 2697633 |
| NEAL, CHERYL KINGSFIELD | BOARD OF MANAGERS | |
| O'CONNELL, WILLIAM J. | BOARD OF MANAGERS | |
| SENTLER, STEVEN MICHAEL | BOARD OF MANAGERS | |
| SWEENEY, TIMOTHY MICHAEL | CHAIRMAN, BOARD OF MANAGERS | |
| WOOD, DOUGLAS JOHN | FINANCIAL OPERATIONS PRINCIPAL | 3146278 |
Red Flags
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