Bret D. 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.
Bret Douglas Allen was a registered financial professional .
Bret is a previously registered financial professional and started their career in finance in 2000. Bret had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2012 - May 16, 2018
TAYLOR CAPITAL MANAGEMENT INC.
March 17, 2009 - December 31, 2009
USA FINANCIAL SECURITIES LLC
May 26, 2000 - December 1, 2008
ALLSTATE FINANCIAL SERVICES, 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
TAYLOR CAPITAL MANAGEMENT INC.
CRD#: 43559 / SEC#: , 8-50313
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
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.
