James E. 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.
James Edward Allen, who also goes by Jim Edward Allen, Jimmy Edward Allen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2010 - November 17, 2015
SIGNATOR FINANCIAL SERVICES, INC.
March 5, 2009 - December 31, 2009
INSPHERE SECURITIES, INC.
July 1, 2008 - February 5, 2009
FSC SECURITIES CORPORATION
March 27, 2008 - July 8, 2008
WOODSTOCK FINANCIAL GROUP, INC.
April 20, 2007 - March 20, 2008
ALLSTATE FINANCIAL SERVICES, LLC
November 17, 2005 - May 7, 2007
MML INVESTORS SERVICES, LLC
February 23, 2000 - November 14, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 14, 2000 - February 10, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 28, 1999 - February 25, 2000
MONY SECURITIES CORPORATION
July 31, 1998 - August 3, 1999
DEMPSEY FINANCIAL NETWORK, INC.
February 6, 1998 - August 4, 1998
OSAIC FS, INC.
April 12, 1994 - February 5, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, 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
SIGNATOR FINANCIAL SERVICES, INC.
CRD#: 19061 / SEC#: 801-66750, 8-37112
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ABERIZK, EMIL JOSEPH JR | DIRECTOR | 1049525 |
| ARMSTRONG, ABIGAIL MARIE | SECRETARY/CLERK & COUNSEL | 1239945 |
| CLARK, JEFFREY STEPHEN | VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL | 4974902 |
| HEAPPS, BRIAN BASIL | DIRECTOR | 1666475 |
| HORACK, THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER | 861315 |
| K VD HAGEN, HALINA | DIRECTOR | 6582303 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | DIRECTOR | 4364402 |
| SUMINSKI, JOHN WILLIAM | DIRECTOR | 6009337 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
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.
