J R. Allison
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.
J Richard Allison, who also goes by Richard J Allison, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1988. J had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1997 - October 26, 2000
LM CAPITAL SECURITIES, INC.
May 22, 1997 - June 19, 1997
BROOKSTREET SECURITIES CORPORATION
September 16, 1996 - May 8, 1997
GLOBALVEST SECURITIES, (USA), INC
February 9, 1995 - June 13, 1995
WINGSPAN INVESTMENT SERVICES
November 18, 1991 - February 6, 1995
HAMILTON INVESTMENTS, INC.
January 13, 1990 - November 6, 1990
MORGAN STANLEY DW INC.
January 4, 1989 - November 8, 1989
GULFSTREAM FINANCIAL ASSOCIATES, INC.
November 22, 1988 - January 17, 1989
GRAYSTONE NASH, 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
LM CAPITAL SECURITIES, INC.
CRD#: 30595 / SEC#: , 8-45037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORLEY, LESLIE MAYNARD | FOUNDER, PRESIDENT & CEO | 2266036 |
Disclosures
| Regulatory Event | 2 |
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.
