Allen M. Darby
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 Myles Darby, who also goes by Allen Myies Darby, was a registered financial advisor .
Allen is a previously registered financial advisor and started their career in finance in 1996. Allen had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 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
January 5, 2004 - May 6, 2010
AEGIS CAPITAL, LLC
August 28, 2003 - December 31, 2008
AEGIS CAPITAL, LLC
June 25, 2001 - September 2, 2005
SUNAMERICA SECURITIES, INC.
March 24, 1999 - April 11, 2001
1ST GLOBAL CAPITAL CORP.
January 13, 1998 - July 8, 1998
FIRST UNION BROKERAGE SERVICES, INC.
September 12, 1996 - January 13, 1998
OSAIC WEALTH, INC.
August 14, 1996 - September 17, 1996
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AEGIS CAPITAL, LLC
CRD#: 125376 / SEC#: 801-63063
Contact information
Red Flags
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