Timothy L. Allen
Professional summary
Timothy Luke Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Timothy had worked at 6 firms, which includes 1ST BRIDGEHOUSE SECURITIES LLC, ALTERNA CAPITAL CORP., RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2004 - May 3, 2005
1ST BRIDGEHOUSE SECURITIES, LLC
June 16, 2004 - April 2, 2007
ALTERNA CAPITAL CORP.
November 11, 1998 - October 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 11, 1998 - October 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 1995 - December 2, 1998
MORGAN STANLEY DW INC.
April 30, 1993 - November 16, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 30, 1993 - November 16, 1993
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
1ST BRIDGEHOUSE SECURITIES, LLC
CRD#: 44655 / SEC#: , 8-50763
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1ST BRIDGEHOUSE FINANCIAL GROUP, LLC | SHAREHOLDER | |
| LANDERS, HOWARD BRIAN | CEO, FINOP, CCO | 1233612 |
Disclosures
| Regulatory Event | 5 |
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