Howard J. Allen
Professional summary
Howard Joseph Allen III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Howard is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Howard had worked at 5 firms, which includes PORTFOLIO ADVISORS ALLIANCE LLC, SIERRA EQUITY GROUP LLC, J.P. TURNER & COMPANY L.L.C., SANDS BROTHERS & CO. LTD., MADISON CHAPIN ASSOCS. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2009 - December 13, 2019
PORTFOLIO ADVISORS ALLIANCE, LLC
June 19, 2008 - January 6, 2009
SIERRA EQUITY GROUP LLC
July 19, 2002 - June 24, 2008
J.P. TURNER & COMPANY, L.L.C.
April 12, 1991 - July 26, 2002
SANDS BROTHERS & CO., LTD.
March 20, 1990 - December 4, 1990
MADISON CHAPIN ASSOCS., 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
PORTFOLIO ADVISORS ALLIANCE, LLC
CRD#: 101680 / SEC#: , 8-52125
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
