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DA

Donald S. Allen

HARBOR FUNDS DISTRIBUTORS
Paoli, PA
Some features on this profile are disabled
CRD#: 5094226
DA

Professional summary

Donald Scott Allen, who also goes by Donald Allen, is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Paoli, Pennsylvania.

Donald is registered as a RR (Registered Representative) and started their career in finance in 2006. Donald has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Allen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Donald Scott Allen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 17, 2023 - Present

HARBOR FUNDS DISTRIBUTORS, INC.

BD
CRD#: 113506
Paoli, PA
Past

June 9, 2017 - May 10, 2023

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PRINCETON, NJ
Past

November 16, 2010 - May 10, 2023

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

April 2, 2007 - May 11, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

February 23, 2006 - March 15, 2007

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/17/2023)
RR
Alaska
(5/17/2023)
RR
Arizona
(5/17/2023)
RR
Arkansas
(5/17/2023)
RR
California
(5/17/2023)
RR
Colorado
(5/17/2023)
RR
Connecticut
(5/17/2023)
RR
Delaware
(5/17/2023)
RR
District of Columbia
(5/17/2023)
RR
Florida
(5/17/2023)
RR
Georgia
(5/17/2023)
RR
Hawaii
(5/17/2023)
RR
Idaho
(5/17/2023)
RR
Illinois
(5/17/2023)
RR
Indiana
(5/17/2023)
RR
Iowa
(5/17/2023)
RR
Kansas
(5/17/2023)
RR
Kentucky
(5/17/2023)
RR
Louisiana
(5/17/2023)
RR
Maine
(5/17/2023)
RR
Maryland
(5/17/2023)
RR
Massachusetts
(5/17/2023)
RR
Michigan
(5/17/2023)
RR
Minnesota
(5/17/2023)
RR
Mississippi
(5/17/2023)
RR
Missouri
(5/17/2023)
RR
Montana
(5/17/2023)
RR
Nebraska
(5/17/2023)
RR
Nevada
(5/17/2023)
RR
New Hampshire
(5/17/2023)
RR
New Jersey
(5/17/2023)
RR
New Mexico
(5/17/2023)
RR
New York
(5/17/2023)
RR
North Carolina
(5/17/2023)
RR
North Dakota
(5/17/2023)
RR
Ohio
(5/17/2023)
RR
Oklahoma
(5/17/2023)
RR
Oregon
(5/17/2023)
RR
Pennsylvania
(5/17/2023)
RR
Puerto Rico
(5/17/2023)
RR
Rhode Island
(5/17/2023)
RR
South Carolina
(5/17/2023)
RR
South Dakota
(5/17/2023)
RR
Tennessee
(5/15/2024)
RR
Texas
(5/17/2023)
RR
Utah
(5/17/2023)
RR
Vermont
(5/17/2023)
RR
Virgin Islands
(5/17/2023)
RR
Virginia
(5/17/2023)
RR
Washington
(5/17/2023)
RR
West Virginia
(5/17/2023)
RR
Wisconsin
(5/17/2023)
RR
Wyoming
(5/17/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/22/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506 / SEC#: , 8-53339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBOR CAPITAL ADVISORS, INC.SHAREHOLDER
HALABY, JOHN STEVEPRESIDENT AND DIRECTOR2543904
KUNKEL, JACOB JEFFREYCHIEF FINANCIAL OFFICER AND TREASURER6108628
MCCAIN, CHARLES FREDERICKCHIEF EXECUTIVE OFFICER AND DIRECTOR4865638
NEE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER4968097

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.

Company Information

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506Paoli, PA

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