Allyson M. Novembre
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.
Allyson Miller Novembre, who also goes by Allyson Miller, Aly Miller, was a registered financial professional .
Allyson is a previously registered financial professional and started their career in finance in 1997. Allyson had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - February 3, 2014
FRANKLIN DISTRIBUTORS, LLC
October 25, 2001 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 26, 2001 - September 20, 2001
SEI INVESTMENTS DISTRIBUTION CO.
July 3, 1997 - November 14, 2000
UBS FINANCIAL SERVICES INC.
July 1, 1997 - July 9, 1997
PRUDENTIAL EQUITY GROUP, 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
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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