Ronald W. 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.
Ronald Wesley Allen, who also goes by Ron Allen, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1990. Ronald had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2001 - April 16, 2018
BULL & BEAR BROKERAGE SERVICES, INC.
September 27, 1999 - April 16, 2018
BULL & BEAR CAPITAL ADVISORS, LLC
June 8, 1999 - July 27, 2001
CPA FINANCIAL ADVISERS, INC.
February 26, 1990 - December 31, 1997
PFS INVESTMENTS 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
BULL & BEAR BROKERAGE SERVICES, INC.
CRD#: 113866 / SEC#: , 8-53367
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BISHOP, MATTHEW BRIAN | PRESIDENT/CEO/CFO/CCO/GSP/FINOP | 2298300 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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