David A. 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.
David Arthur Allen was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2012 - January 28, 2016
AVENIR FINANCIAL GROUP
December 14, 2007 - December 31, 2008
RIVERSTONE FINANCIAL
October 19, 2006 - October 19, 2007
GUNNALLEN FINANCIAL, INC
July 21, 2006 - October 19, 2007
GUNNALLEN FINANCIAL, INC
March 2, 2006 - July 27, 2006
JESUP & LAMONT SECURITIES CORP
May 26, 1998 - January 22, 2001
SENTINEL FINANCIAL SERVICES COMPANY
October 7, 1994 - October 9, 1997
FIDELITY BROKERAGE SERVICES 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
Exams
Current Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
