Allen A. Ah You
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 Adam Ah You III, who also goes by Allen Adam Ah Yoo III, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 2001. Allen had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 51 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
August 6, 2009 - August 1, 2016
INVESTORS CAPITAL CORP.
July 31, 2009 - August 1, 2016
INVESTORS CAPITAL CORP.
November 14, 2007 - March 16, 2009
LPL FINANCIAL LLC
November 14, 2007 - March 16, 2009
LPL FINANCIAL LLC
May 24, 2001 - November 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 22, 2001 - November 13, 2007
AMERIPRISE 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
