Allison P. Futch
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.
Allison P Futch, who also goes by Allison Paige Futch, Allison Futch, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1999. Allison had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
April 13, 2016 - August 15, 2018
EQUITABLE DISTRIBUTORS, LLC
January 7, 2016 - April 8, 2016
EMPOWER FINANCIAL SERVICES, INC.
December 6, 2011 - December 18, 2015
EQUITABLE DISTRIBUTORS, LLC
October 22, 2010 - November 30, 2011
SECURIAN FINANCIAL SERVICES, INC.
September 30, 2010 - November 30, 2011
SECURIAN FINANCIAL SERVICES, INC.
May 10, 2010 - May 24, 2010
DEWAAY FINANCIAL NETWORK, LLC
December 9, 2009 - May 7, 2010
FSC SECURITIES CORPORATION
July 31, 2008 - October 8, 2008
VOYA FINANCIAL PARTNERS, LLC
August 27, 2007 - May 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 27, 2007 - May 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 11, 2002 - July 24, 2007
STANCORP EQUITIES, INC.
January 2, 2002 - July 27, 2007
STANCORP INVESTMENT ADVISERS, INC.
September 27, 2000 - April 20, 2001
MORGAN STANLEY DW INC.
November 26, 1999 - September 8, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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