Annette 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.
Annette D Allen, who also goes by Annette Denise Allen, Annette Allen, Annette Denise Drye, was a registered financial professional .
Annette is a previously registered financial professional and started their career in finance in 2002. Annette had worked at 8 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
May 17, 2022 - April 24, 2023
BANKERS LIFE SECURITIES, INC.
July 16, 2019 - July 7, 2020
PRINCIPAL SECURITIES, INC.
April 5, 2019 - June 11, 2019
PRUCO SECURITIES, LLC.
October 16, 2007 - December 31, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
September 20, 2006 - September 24, 2007
EQUITY SERVICES, INC.
July 8, 2004 - May 24, 2005
MULTIPLE FINANCIAL SERVICES, INC.
August 9, 2002 - April 8, 2004
METROPOLITAN LIFE INSURANCE COMPANY
August 9, 2002 - April 8, 2004
MSI FINANCIAL SERVICES, INC.
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
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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