Allen T. Lyttle
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 Thomas Lyttle was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1999. Allen had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2004 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
February 26, 2003 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
June 5, 2002 - June 12, 2002
AMERIPRISE ADVISOR SERVICES, INC.
April 30, 2002 - May 13, 2002
LIGHTSPEED PROFESSIONAL TRADING LLC
August 10, 2001 - August 24, 2001
RUMSON CAPITAL, LLC
November 27, 2000 - July 31, 2001
LIGHTSPEED PROFESSIONAL TRADING LLC
September 15, 2000 - October 23, 2000
SUMMIT TRADING, INC.
November 2, 1999 - May 26, 2000
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/24/2002
Limited Representative-Equity Trader ExamCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
