Billy W. Allen
Professional summary
Billy Wayne Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Billy is a previously registered financial advisor and started their career in finance in 2008. Prior to being barred, Billy had worked at 3 firms, which includes LEGEND EQUITIES CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2015 - June 5, 2015
LEGEND EQUITIES CORPORATION
October 8, 2012 - January 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2012 - January 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2008 - October 8, 2012
EDWARD JONES
June 20, 2008 - October 8, 2012
EDWARD JONES
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
LEGEND EQUITIES CORPORATION
CRD#: 30999 / SEC#: , 8-45286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEGEND GROUP HOLDINGS, LLC | DIRECT OWNER | |
| ANTONIADES, ADAM NICHOLAS | DIRECTOR | 2261744 |
| BONNEAU, CATHERINE MCCORMACK | DIRECTOR | 2899706 |
| GINGRICH, MIRALDA | VICE PRESIDENT | 1985431 |
| GRIFFEY, ENA MARIA | FINOP | 4460199 |
| HALEY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 4361815 |
| MEHROTRA, SHASHI | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2640875 |
| RUDNICK, REGINA MARY | VICE PRESIDENT | 2373530 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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