Ashley M. 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.
Ashley Michelle Allen, who also goes by Ashley Michele Allen, was a registered financial professional .
Ashley is a previously registered financial professional and started their career in finance in 1993. Ashley had worked at 2 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2013 - October 2, 2015
BLUE SAND SECURITIES LLC
August 19, 1993 - September 19, 1994
ALEX. BROWN & SONS INCORPORATED
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 62
Date: 11/27/2013
Corporate Securities Limited Representative ExaminationCurrent Firm
BLUE SAND SECURITIES LLC
CRD#: 142976 / SEC#: , 8-67514
Contact information
FINRA licenses (53 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.
