John Faulkner Allen
Professional Summary
John Faulkner Allen is a registered financial advisor currently at QUANTITATIVE BROKERS, LLC located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 27, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
QUANTITATIVE BROKERS, LLC
Contact Information
Main Address
285 Madison Avenue Suite 1700, New York, NY 10017Mailing Address
285 Madison Avenue Suite 1700, New York, NY 10017Phone Number
(646) 293-1800Established
Delaware since 06/18/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/20/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Faulkner Allen's CRS (Customer Relationship Summary).
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