Wilson G. 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.
Wilson Guinard Allen was a registered financial professional .
Wilson is a previously registered financial professional and started their career in finance in 1998. Wilson had worked at 3 firms and has passed the Series 63, SIE, Series 62 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
September 15, 2017 - October 6, 2020
INDEPENDENT INVESTMENT BANKERS, CORP.
August 20, 2003 - September 26, 2017
WESTLAKE SECURITIES
May 15, 1998 - November 12, 2010
SIGNATURE CAPITAL SECURITIES 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
Series 62
Date: 2/12/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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