James C. Allen
Professional summary
James Charles Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, James had worked at 5 firms, which includes THE PATRIOT GROUP SECURITIES, DIESEL ENERGY INTERNATIONAL L.L.C., LONE STAR SECURITIES INC., TEXAKOMA FINANCIAL INC., HRH SECURITIES INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2006 - June 10, 2011
THE PATRIOT GROUP SECURITIES
May 7, 2001 - November 6, 2002
DIESEL ENERGY INTERNATIONAL, L.L.C.
March 3, 2000 - April 17, 2001
LONE STAR SECURITIES, INC.
July 2, 1996 - June 9, 1998
TEXAKOMA FINANCIAL, INC.
April 24, 1996 - June 18, 1996
HRH SECURITIES, INC.
October 9, 1995 - May 8, 1996
TEXAKOMA FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE PATRIOT GROUP SECURITIES
CRD#: 137904 / SEC#: , 8-67130
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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