Allen Weinstein
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 Weinstein was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1971. Allen had worked at 8 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1985 - March 28, 1989
SHEFFIELD SECURITIES, INC.
March 26, 1985 - August 19, 1985
NOBLE CAPITAL MARKETS, INC.
December 13, 1982 - April 15, 1983
SWINK & COMPANY, INC.
February 14, 1977 - August 13, 1980
BALOGH SECURITIES, INC.
September 10, 1975 - March 12, 1976
J. W. WELLER & CO., INC.
April 5, 1973 - September 4, 1973
DOUEST CORPORATION
July 13, 1972 - March 13, 1973
MORGAN, KENNEDY & CO., INC.
September 16, 1971 - February 26, 1972
KENNETH BOVE & CO., 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 1
Date: 9/13/1971
Registered Representative ExaminationSeries 00
Date: 8/26/1972
General Securities Principal ExaminationCurrent Firm
SHEFFIELD SECURITIES, INC.
CRD#: 16475 / SEC#: , 8-34010
Contact information
Documents
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.
