Robert 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.
Robert E. Allen, who also goes by Robert Edwin Allen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 4, 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
December 7, 2023 - March 26, 2026
LPL FINANCIAL LLC
December 7, 2023 - March 26, 2026
LPL FINANCIAL LLC
September 1, 2021 - December 6, 2023
FIFTH THIRD SECURITIES, INC.
August 24, 2021 - December 6, 2023
FIFTH THIRD SECURITIES, INC.
February 25, 2021 - August 31, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 25, 2021 - August 31, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 23, 2013 - January 19, 2021
KEY INVESTMENT SERVICES LLC
April 16, 2013 - January 19, 2021
KEY INVESTMENT SERVICES LLC
June 3, 2011 - April 5, 2013
CITIZENS SECURITIES, INC.
May 31, 2011 - April 5, 2013
CITIZENS SECURITIES, INC.
October 14, 2008 - May 2, 2011
KEY INVESTMENT SERVICES LLC
September 5, 2008 - May 2, 2011
KEY INVESTMENT SERVICES LLC
November 6, 2006 - September 3, 2008
THE HUNTINGTON INVESTMENT COMPANY
October 16, 2006 - September 3, 2008
THE HUNTINGTON INVESTMENT COMPANY
July 6, 2005 - August 9, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - August 9, 2006
CHASE INVESTMENT SERVICES CORP.
March 2, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 24, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 17, 2004 - January 13, 2005
TD AMERITRADE, INC.
November 14, 1994 - January 13, 2005
TD AMERITRADE, INC.
June 7, 1993 - June 16, 1994
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 12/7/2023
Operations Professional ExaminationSeries 8
Date: 7/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
