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Donald W. Allen

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CRD#: 4484961
DA

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.

Donald William Allen was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2002. Donald had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 72 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 3, 2015 - July 27, 2015

SYNERGY CAPITAL I, LLC

BD
CRD#: 47965
NEW YORK, NY
Past

April 29, 2014 - August 14, 2014

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

September 6, 2011 - December 11, 2013

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

February 26, 2008 - September 6, 2011

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

January 3, 2002 - February 26, 2008

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/27/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/7/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2002
Government Securities Representative Examination

Current Firm

SC
SYNERGY CAPITAL I, LLC
SYNERGY CAPITAL I, LLC | SYNERGY CAPITAL, INC.

CRD#: 47965 / SEC#: , 8-51971

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Fulton Street, New York, NY 10038
Mailing Address
40 Fulton Street 23rd Floor, New York, NY 10038
Phone number
(212) 385-0537
Established
Delaware since 10/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CSG III, LLCPARENT
BERMAN, STEPHEN JEFFREYPRESIDENT,CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1301872
GEORGE, KENNETH RONALDCFO, PRINCIPAL FINANCIAL OFFICER AND OPERATIONS OFFICER2643369

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.

Company Information

SYNERGY CAPITAL I, LLC

CRD#: 47965

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