Allen G. French
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 Gene French was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1999. Allen had worked at 5 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2016 - April 30, 2019
ALPS DISTRIBUTORS, INC.
May 11, 2016 - September 29, 2016
TRANSAMERICA CAPITAL, LLC
May 7, 2012 - March 27, 2015
ALPS DISTRIBUTORS, INC.
May 11, 2006 - April 30, 2012
OLD MUTUAL INVESTMENT PARTNERS
August 25, 2003 - April 10, 2006
BNY MELLON SECURITIES CORPORATION
June 29, 1999 - November 3, 2003
FOUNDERS ASSET MANAGEMENT LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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