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AB

Allen Blankenship

Some features on this profile are disabled
CRD#: 2380389
AB

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 Blankenship JR, who also goes by Allen Jr Blankenship, Allen Blankenship, was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 1993. Allen had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 79, Series 55 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allen Jr Blankenship | Allen Blankenship

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 30, 2015 - June 29, 2016

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

BD
CRD#: 154559
Los Angeles, CA
Past

September 10, 2014 - June 15, 2015

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

April 29, 2011 - April 8, 2014

ASCENDIANT CAPITAL MARKETS, LLC

BD
CRD#: 152912
IRVINE, CA
Past

February 19, 2009 - April 14, 2009

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

November 12, 2007 - January 23, 2009

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

January 13, 2005 - February 15, 2006

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
SAN FRANCISCO, CA
Past

October 13, 1998 - March 1, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 10, 1998 - October 8, 1998

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

February 14, 1998 - February 27, 1998

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

October 1, 1997 - January 26, 1998

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 27, 1997 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

May 8, 1996 - January 2, 1997

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

October 17, 1995 - December 4, 1995

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

March 31, 1994 - August 23, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 13, 1993 - October 14, 1993

BERKELEY SECURITIES CORPORATION

BD
CRD#: 8397
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 4/28/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 12/10/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 5/18/1995
National Commodity Futures Examination

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

Disclosures

Regulatory Event1

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.

Company Information

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

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