Colin J. Allen

VAN ECK SECURITIES

New York, NY 10017

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CRD#: 5549603

Professional summary

Colin James Allen, who also goes by Colin J Allen, Colin Allen, is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.

Colin is registered as a RR (Registered Representative) and started their career in finance in 2010. Colin has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Colin J Allen | Colin 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 Colin James 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

April 30, 2025 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 666 Third Avenue 9th Floor, New York, NY 10017

CRD#: 2269

New York, NY

Past

September 10, 2024 - April 16, 2025

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

October 18, 2018 - August 2, 2024

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

SANTA MONICA, CA

Past

October 18, 2018 - August 2, 2024

DFA SECURITIES LLC

CRD#: 10292

SANTA MONICA, CA

Past

March 30, 2010 - October 8, 2018

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

March 23, 2010 - October 8, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

State Registrations and Notice Filings

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

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

Alaska
(4/30/2025)

Arizona
(4/30/2025)

California
(4/30/2025)

Hawaii
(4/30/2025)

Nevada
(4/30/2025)

Oregon
(4/30/2025)

Washington
(4/30/2025)

Exams

State Security Law Exam

Series 63

Date: 4/6/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/10/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

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

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Contact information

Main Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Mailing Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Phone number

(212) 293-2000

Established

Delaware since 08/01/1955

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VAN ECK ASSOCIATES CORPORATION	100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAEL	CHIEF COMPLIANCE OFFICER	2099916
RAPPAPORT, LEE ROBERT	VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR	4682842
SIMON, JONATHAN RICH	SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR	5313394
VANECK, JAN FREDERICK	PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR	1695680

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Colin J. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colin James Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/2010

Series 65

Date: 12/10/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/29/2010

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VAN ECK SECURITIES CORPORATION

TRUST BUT VERIFY

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