Bethany K. 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.
Bethany Kendra Allen, who also goes by Bethany Kendra Allen, Bethany Allen, was a registered financial professional .
Bethany is a previously registered financial professional and started their career in finance in 1999. Bethany had worked at 8 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 6, Series 53, Series 4 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
February 22, 2022 - August 9, 2023
ALTRUIST FINANCIAL LLC
September 21, 2017 - August 18, 2021
HSBC SECURITIES (USA) INC.
August 19, 2016 - August 18, 2017
M&T SECURITIES, INC.
September 26, 2008 - November 12, 2013
E*TRADE CLEARING LLC
May 8, 2006 - March 6, 2015
E*TRADE SECURITIES LLC
February 21, 2003 - May 8, 2006
BROWNCO, LLC
August 6, 2001 - January 28, 2002
NEW ENGLAND SECURITIES
December 13, 1999 - March 24, 2000
SIGNATOR INVESTORS, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 11/21/2005
Limited Representative-Equity Trader ExamCurrent Firm
ALTRUIST FINANCIAL LLC
CRD#: 299274 / SEC#: , 8-70244
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
