Allen M. Adams
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.
Allen Michael Adams was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1999. Allen had worked at 3 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
January 9, 2008 - December 31, 2015
HARRISON FINANCIAL PLANNING
January 6, 2003 - December 31, 2005
GUGGENHEIM DISTRIBUTORS, LLC
August 23, 1999 - December 31, 2007
HARRISON FINANCIAL PLANNING
March 10, 1999 - January 3, 2003
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HARRISON FINANCIAL PLANNING
CRD#: 114728 / SEC#:
Contact information
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.
