Christopher J. 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.
Christopher Jacques Lewis Allen, who also goes by Chris Allen, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 31, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2017 - November 28, 2018
NORFOLK MARKETS, LLC
August 27, 2015 - February 17, 2017
FNEX CAPITAL, LLC
December 14, 2009 - July 23, 2010
BANC OF MANHATTAN CAPITAL
May 7, 2009 - January 4, 2010
MDB CAPITAL
April 14, 1997 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
November 13, 1995 - November 4, 1996
BARCLAYS CAPITAL INC.
October 30, 1992 - November 21, 1995
CITIGROUP GLOBAL MARKETS 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
NORFOLK MARKETS, LLC
CRD#: 103797 / SEC#: , 8-52306
Contact information
FINRA licenses (1 States and Territories)
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.
