Joseph Ray Allen
Professional Summary
Joseph Ray Allen, who also goes by Joe Allen, is a registered financial advisor currently at VANDERBILT SECURITIES, LLC located in Ballwin, Missouri. Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Allen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES
Contact Information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Phone Number
(631) 845-5100Established
New York since 12/05/2001Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | — |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
(2/1/2019)
(6/19/2019)
(1/5/2022)
(2/15/2019)
(2/1/2019)
(2/1/2019)
(2/1/2019)
(2/11/2019)
(2/1/2019)
(2/1/2019)
(1/2/2020)
(2/11/2022)
(9/8/2020)
(8/30/2021)
(2/14/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Ray Allen's CRS (Customer Relationship Summary).
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