Scott J. 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.
Scott John Allen was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2018 - October 28, 2019
INSTITUTIONAL BOND NETWORK, LLC
July 25, 2018 - October 28, 2019
IBN ASSET MANAGEMENT, LLC
October 1, 2008 - August 12, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2008 - August 12, 2016
J.P. MORGAN SECURITIES LLC
April 17, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 16, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 15, 1999 - November 17, 2006
CHASE INVESTMENT SERVICES CORP.
August 27, 1996 - July 3, 1997
CHASE INVESTMENT SERVICES CORP.
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
INSTITUTIONAL BOND NETWORK, LLC
CRD#: 187515 / SEC#: , 8-69609
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAGGE, ERIK NICHOLAS | SENIOR PARTNER, MUNI PRINCIPAL | 3244703 |
| DICKINSON, MARTIN JOHN | OWNER | 1352810 |
| NATALE, CHRISTOPHER JOHN | MANAGING MEMBER & PROPRIETARY TRADER | 4870483 |
| SWEENEY, PATRICK WILLIAM | OWNER | 1350182 |
| ACTON STROIA FAMILY TRUST | TRUST | |
| ACTON, BRIAN LEONARD | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8167174 |
| CLARK, CATHERINE MARIAN | CHIEF COMPLIANCE OFFICER | 4384961 |
| GILMAN, ROBERT CRAIG | FINOP/CFO/PFO/POO | 1738412 |
| KNIPPA, GARY LOUIS | INVESTOR | 8167504 |
| MATHENY, GREGORY SCOTT | INVESTOR | 8167208 |
| NGUYEN, HOAN-VU TRAN | INVESTOR | 8163339 |
| O'MARA, CHRISTOPHER ROY | PROPRIETARY TRADER | 1657262 |
| RUFFIER, WILLIAM EUGENE | INVESTOR | 8167148 |
| STROIA, SHARON MARIE | TRUSTEE FOR ACTION STROIA FAMILY TRUST | 8168236 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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