Brooke T. 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.
Brooke Tee Allen was a registered financial professional .
Brooke is a previously registered financial professional and started their career in finance in 1988. Brooke had worked at 3 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2006 - May 6, 2013
MAPLE SECURITIES U.S.A. INC.
April 26, 1996 - March 11, 2005
MAPLE SECURITIES U.S.A. INC.
September 28, 1992 - August 5, 1993
CREDIT SUISSE SECURITIES (USA) LLC
March 22, 1988 - September 8, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 4/26/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MAPLE SECURITIES U.S.A. INC.
CRD#: 33947 / SEC#: , 8-46184
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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