Linda A. 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.
Linda Ann Allen, who also goes by Linda Ann Connell, Linda Ann Whittemore, Linda Whittemore, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1990. Linda had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, 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
September 9, 2016 - September 4, 2018
TRUIST ADVISORY SERVICES, INC.
July 28, 2010 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
July 28, 2010 - September 4, 2018
TRUIST INVESTMENT SERVICES, INC.
March 19, 2009 - July 19, 2010
OPPENHEIMER & CO. INC.
March 19, 2009 - July 19, 2010
OPPENHEIMER & CO. INC.
March 18, 2008 - March 16, 2009
STANFORD GROUP COMPANY
March 18, 2008 - March 16, 2009
STANFORD GROUP COMPANY
December 31, 2001 - March 20, 2008
CITIGROUP GLOBAL MARKETS INC.
October 27, 1993 - March 20, 2008
CITIGROUP GLOBAL MARKETS INC.
July 7, 1992 - November 3, 1993
THE ROBINSON-HUMPHREY COMPANY, LLC
June 21, 1990 - April 29, 1992
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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 8
Date: 4/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
