Joseph R. Allen
Professional summary
Joseph Ray Allen, who also goes by Joe Allen, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Ray Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2019 - Present
VANDERBILT SECURITIES, LLC
January 31, 2019 - November 23, 2020
VANDERBILT ADVISORY SERVICES
November 16, 2018 - January 31, 2019
MML INVESTORS SERVICES, LLC
October 25, 2018 - January 31, 2019
MML INVESTORS SERVICES, LLC
April 28, 2006 - October 8, 2018
PRINCIPAL SECURITIES, INC.
April 24, 2006 - October 8, 2018
PRINCIPAL SECURITIES, INC.
March 15, 2005 - August 15, 2005
PREMIER WEALTH ADVISORY SERVICES, INC.
September 25, 2003 - August 23, 2005
GUGGENHEIM DISTRIBUTORS, LLC
July 19, 2002 - September 22, 2003
FSC SECURITIES CORPORATION
November 3, 1993 - June 22, 1995
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 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 | 5 |
| Arbitration | 1 |
Red Flags
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