Allison K. Durnbaugh
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.
Allison Kay Durnbaugh, who also goes by Allison Kay Barry, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2002. Allison had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE 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
March 23, 2018 - December 31, 2020
CANTELLA & CO., INC.
March 31, 2017 - February 14, 2018
LEVEL FOUR FINANCIAL, LLC
October 22, 2015 - March 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 6, 2015 - September 21, 2015
L.M. KOHN & COMPANY
June 28, 2012 - September 21, 2015
PATHWAYS WEALTH MANAGEMENT, INC.
July 13, 2011 - August 23, 2013
PURSHE KAPLAN STERLING INVESTMENTS
September 1, 2010 - July 12, 2011
TRIAD ADVISORS LLC
June 1, 2009 - July 23, 2010
MORGAN STANLEY
June 1, 2009 - July 23, 2010
MORGAN STANLEY
February 1, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 7, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
Series 7TO
Date: 8/3/2022
General Securities Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
