Clifford C. 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.
Clifford Charles Allen was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1993. Clifford had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2012 - November 8, 2013
QUEST CAPITAL STRATEGIES, INC.
July 19, 2010 - November 10, 2010
QUEST CAPITAL STRATEGIES, INC.
July 19, 2010 - November 8, 2013
QUEST CAPITAL STRATEGIES, INC.
October 17, 2007 - August 5, 2008
MSI FINANCIAL SERVICES, INC.
July 22, 2005 - October 12, 2007
QUEST CAPITAL STRATEGIES, INC.
September 22, 2004 - June 7, 2005
WAMU INVESTMENTS, INC.
October 4, 2002 - October 6, 2004
QUEST CAPITAL STRATEGIES, INC.
April 24, 2000 - August 9, 2001
CITICORP INVESTMENT SERVICES
August 4, 1997 - December 4, 1998
BA INVESTMENT SERVICES, INC.
September 16, 1996 - February 14, 1997
ROUND HILL SECURITIES, INC.
April 11, 1995 - February 22, 1996
WELLS FARGO SECURITIES INC.
November 8, 1993 - February 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1993 - September 13, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1993 - November 1, 1993
MONTANO SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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