Gregory M. 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.
Gregory Mark Allen, CFP® was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1973. Gregory had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1984
Experience
January 9, 2006 - July 13, 2022
FFEC WEALTH PARTNERS LLC
January 9, 2006 - January 3, 2017
FFEC WEALTH PARTNERS LLC
February 26, 2003 - August 30, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 26, 2003 - August 30, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 2000 - May 15, 2003
MORGAN STANLEY & CO. LLC
August 23, 1983 - April 25, 2003
MORGAN STANLEY DW INC.
February 24, 1978 - April 25, 2003
MORGAN STANLEY DW INC.
October 13, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
September 4, 1973 - November 4, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 11/5/1981
Interest Rate Options ExaminationSeries 1
Date: 8/29/1973
Registered Representative ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
