Ray A. Allen
Professional summary
Ray Anthony Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ray is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Ray had worked at 9 firms, which includes BROOKSTREET SECURITIES CORPORATION, WOODSTOCK FINANCIAL GROUP INC., DELTA ASSET MANAGEMENT COMPANY LLC, GREAT EASTERN SECURITIES INC., GRADY AND HATCH & COMPANY INC., CHICAGO INVESTMENT GROUP LLC, PROVIDENTIAL SECURITIES INC., THINKEQUITY LLC, FAIRCHILD FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2003 - January 2, 2004
BROOKSTREET SECURITIES CORPORATION
December 10, 2002 - March 7, 2003
WOODSTOCK FINANCIAL GROUP, INC.
October 28, 2002 - November 20, 2002
DELTA ASSET MANAGEMENT COMPANY, LLC
July 17, 2002 - September 30, 2002
GREAT EASTERN SECURITIES, INC.
April 26, 2001 - December 18, 2001
GRADY AND HATCH & COMPANY, INC.
September 18, 2000 - April 16, 2001
CHICAGO INVESTMENT GROUP, LLC
November 17, 1999 - October 2, 2000
PROVIDENTIAL SECURITIES, INC.
June 15, 1998 - August 27, 1999
THINKEQUITY LLC
August 27, 1997 - December 4, 1997
FAIRCHILD FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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