Frederick D. Allen
Professional summary
Frederick David Allen is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Dallas, Texas.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1995. Frederick has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick David Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2024 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: 5949 Sherry Lane Suite 1470, Dallas, TX 75225December 12, 2011 - December 5, 2023
KEYBANC CAPITAL MARKETS INC.
April 13, 2011 - December 5, 2011
MF GLOBAL INC.
May 28, 2008 - February 10, 2011
JEFFERIES LLC
July 23, 2007 - April 9, 2008
COHEN & COMPANY SECURITIES, LLC
June 14, 2006 - May 23, 2007
ABN AMRO INCORPORATED
October 3, 2005 - May 22, 2007
LASALLE FINANCIAL SERVICES, INC.
September 13, 2004 - October 4, 2005
ABN AMRO INCORPORATED
August 2, 2004 - August 31, 2004
J.P. MORGAN SECURITIES INC.
April 23, 2003 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
March 22, 2001 - June 1, 2001
DEERFIELD SECURITIES, INC.
April 26, 1999 - June 1, 2001
WEB STREET SECURITIES, INC.
March 18, 1997 - May 6, 1998
BMO CAPITAL MARKETS GKST INC.
July 11, 1995 - March 14, 1997
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
Company Information
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346Dallas, TX 75225TRUST BUT VERIFY
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