Allen J. Sztukowski
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.
Allen James Sztukowski was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1992. Allen had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2003 - February 9, 2011
PCBB CAPITAL MARKETS, LLC
May 15, 2001 - January 2, 2018
PCBB CAPITAL MARKETS, LLC
June 1, 2000 - March 28, 2001
CHARLES SCHWAB & CO., INC.
February 12, 1999 - May 16, 2000
CITIGROUP GLOBAL MARKETS INC.
May 17, 1993 - February 19, 1999
BA INVESTMENT SERVICES, INC.
April 20, 1992 - August 16, 1994
H.J. MEYERS & CO., 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
Series 8
Date: 11/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PCBB CAPITAL MARKETS, LLC
CRD#: 104428 / SEC#: , 8-52889
Contact information
Documents
Direct owners and executive officers
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.
