Robert E. Alan
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.
Robert Ellis Alan, who also goes by Robert Ellis Allen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2022 - January 17, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 13, 2016 - October 7, 2019
BNY MELLON SECURITIES CORPORATION
October 21, 2011 - February 19, 2016
CUTWATER ASSET MANAGEMENT
April 21, 2006 - October 3, 2011
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
May 23, 2003 - March 17, 2006
BARINGS SECURITIES LLC
December 16, 1993 - April 15, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
February 27, 1992 - September 24, 1993
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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