Frank G. 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.
Frank George Allen, who also goes by Francis George Allen, Frank G Allen, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2005. Frank had worked at 4 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
March 24, 2014 - October 31, 2016
GIRARD INVESTMENT SERVICES, LLC
September 25, 2008 - February 26, 2013
TRANSAMERICA INVESTORS SECURITIES, LLC
February 13, 2007 - July 29, 2008
ADP BROKER-DEALER, INC.
June 30, 2005 - June 23, 2006
PRUCO SECURITIES, 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
GIRARD INVESTMENT SERVICES, LLC
CRD#: 1834 / SEC#: 801-61159, 8-14145
Contact information
FINRA licenses (15 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNIVEST BANK AND TRUST CO. | HOLDING COMPANY | |
| COLON, LISA MARIE | PRINCIPAL OPERATIONS OFFICER | 2392261 |
| GEIBEL, DAVID WARREN | PRESIDENT | 2645082 |
| HELLINGS, THOMAS EDWIN | SVP, CHIEF COMPLIANCE OFFICER | 2128581 |
| JOHNSON, DARREN GLEN | VP, FINANCIAL OFFICER | 4102844 |
| VANSANT, WILLIAM FRANCIS III | SVP, MANAGING DIRECTOR | 4511525 |
Disclosures
| Regulatory Event | 2 |
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.
