Alfred M. Allgood
Professional summary
Alfred Monroe Allgood, who also goes by Alfred Smith, is a registered financial professional currently at OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.
Alfred is registered as a RR (Registered Representative) and started their career in finance in 2006. Alfred has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alfred Monroe Allgood's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2020 - Present
OPEN TO THE PUBLIC INVESTING, INC.
Office #1: 6 Harrison St 5th Floor, New York, NY 10013September 20, 2012 - August 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2011 - August 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2011 - February 23, 2011
PRUCO SECURITIES, LLC.
July 25, 2007 - September 30, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2007 - May 3, 2007
CITICORP INVESTMENT SERVICES
April 3, 2006 - November 27, 2006
WELLS FARGO CLEARING SERVICES, 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
(3/24/2023)
(4/7/2023)
(3/29/2023)
(4/6/2023)
(3/24/2023)
(3/27/2023)
(3/24/2023)
(3/28/2023)
(3/27/2023)
(3/27/2023)
(3/28/2023)
(3/28/2023)
(3/24/2023)
(3/24/2023)
(3/29/2023)
(3/30/2023)
(3/24/2023)
(3/27/2023)
(3/24/2023)
(3/27/2023)
(3/28/2023)
(4/19/2023)
(3/28/2023)
(3/24/2023)
(3/27/2023)
(4/26/2023)
(3/27/2023)
(3/24/2023)
(4/3/2023)
(4/4/2023)
(3/24/2023)
(3/24/2023)
(9/8/2020)
(9/8/2020)
(3/27/2023)
(3/24/2023)
(4/3/2023)
(4/14/2023)
(3/27/2023)
(4/13/2023)
(4/4/2023)
(3/30/2023)
(3/24/2023)
(3/27/2023)
(3/24/2023)
(3/24/2023)
(3/24/2023)
(3/28/2023)
(3/27/2023)
(3/24/2023)
(3/27/2023)
(3/28/2023)
(3/29/2023)
Exams
FINRA
Current Firm
OPEN TO THE PUBLIC INVESTING, INC.
CRD#: 127818 / SEC#: , 8-66049
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
