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AS

Allen Sanchez

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CRD#: 5158827
AS

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 Sanchez was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 2008. Allen had worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2016 - April 8, 2022

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

February 15, 2013 - September 5, 2013

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

February 5, 2013 - June 4, 2014

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

February 11, 2008 - November 9, 2012

COMMONWEALTH AUSTRALIA SECURITIES LLC

BD
CRD#: 136321
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/24/2014
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2010
General Securities Principal Examination

Current Firm

IF
ING FINANCIAL MARKETS LLC
ING (U.S.) SECURITIES, FUTURES & OPTIONS INC. | QUANTUM SECURITIES, INC. | ING SECURITIES DERIVATIVES CLEARING | ING SECURITIES & OPTIONS | ING FINANCIAL MARKETS LLC | ING BARINGS CORP.

CRD#: 28872 / SEC#: , 8-43978

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

Main Address
1133 Avenue Of The Americas, New York, NY 10036
Mailing Address
1133 Avenue Of The Americas, New York, NY 10036
Phone number
(646) 424-6000
Established
Delaware since 11/06/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# 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#
ING FINANCIAL HOLDINGS CORPORATIONSOLE SHAREHOLDER
BENETREU, LINDA MARIANNEDIRECTOR6448656
CHAUDHURI, SUPRIO NMNCHIEF COMPLIANCE OFFICER4659711
CICCHILLO, DARREN THOMASCHIEF OPERATING OFFICER2261428
MEEHAN, TIMOTHY MICHAELGENERAL COUNSEL4238220
MEYER, KATHARYN ARABELA BOYLECHIEF EXECUTIVE OFFICER3063186
SCHAEFFER, ANDREW DAVIDDIRECTOR1817568
TORNIJ, MARKDIRECTOR7337753
WOLVIUS, JOHANNES DERKCHIEF FINANCIAL OFFICER7053218

Disclosures

Regulatory Event10

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

ING FINANCIAL MARKETS LLC

CRD#: 28872

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