Christopher 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.
Christopher Dillon Allen, who also goes by Christopher Dillion Allen Mr., was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2007 - October 26, 2012
RESOURCE SECURITIES LLC
October 19, 2004 - January 17, 2005
BRYAN FUNDING, INC.
July 29, 2004 - January 22, 2007
ANTHEM SECURITIES, INC.
May 17, 2002 - December 17, 2003
BDO CAPITAL ADVISORS, 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
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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