Allen P. Mecham
Professional summary
Allen Pond Mecham was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Allen is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Allen had worked at 5 firms, which includes SOUTHEAST INVESTMENTS N.C. INC., SECURITIES SERVICE NETWORK LLC, FIDELITY BROKERAGE SERVICES LLC, FIDELITY DISTRIBUTORS COMPANY LLC, CITISTREET EQUITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2008 - February 9, 2009
SOUTHEAST INVESTMENTS, N.C., INC.
March 14, 2001 - July 7, 2008
SECURITIES SERVICE NETWORK, LLC
January 11, 1996 - March 2, 2001
FIDELITY BROKERAGE SERVICES LLC
August 15, 1994 - January 16, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
June 8, 1993 - August 9, 1994
FIDELITY BROKERAGE SERVICES LLC
April 17, 1989 - June 26, 1989
CITISTREET EQUITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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