Douglas D. Allison
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.
Douglas David Allison, who also goes by Doug Allison, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1970. Douglas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2010 - March 29, 2018
NATIONAL SECURITIES CORPORATION
October 1, 2001 - June 10, 2010
UBS FINANCIAL SERVICES INC.
April 6, 2001 - June 10, 2010
UBS FINANCIAL SERVICES INC.
August 16, 1994 - April 11, 2001
PERSHING LLC
May 14, 1985 - August 15, 1994
WILLIAM BLAIR
June 14, 1982 - May 20, 1985
MORGAN STANLEY & CO. LLC
June 7, 1974 - June 28, 1982
BACON, WHIPPLE & CO.
April 26, 1974 - August 24, 1974
MOSELEY, HALLGARTEN & ESTABROOK INC.
August 10, 1973 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
January 26, 1971 - August 10, 1973
F. S. MOSELEY & CO.
December 23, 1970 - April 10, 1971
GOODBODY & CO. INCORPORATED
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: 10/22/1981
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 4/4/1966
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
