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BA

Brandon J. Allen

MACQUARIE CAPITAL (USA)
Houston, TX 77002
Some features on this profile are disabled
CRD#: 5956112
BA

Professional summary

Brandon J Allen, who also goes by Brandon Jamaar Allen, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Houston, Texas.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 2011. Brandon has worked at 3 firms and has passed the Series 66, SIE, Series 99 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brandon Jamaar 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 Brandon J 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

January 17, 2018 - Present

MACQUARIE CAPITAL (USA) INC.

Office #1: One Allen Center 500 Dallas Street, Houston, TX, 77002
BD
CRD#: 36368
Houston, TX
Past

May 17, 2016 - December 6, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
JACKSONVILLE, FL
Past

June 11, 2012 - August 7, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

June 11, 2012 - August 7, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL
Past

September 23, 2011 - January 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

August 23, 2011 - January 18, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL

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

State Security Law Exam
RR
IAR
Series 66
Date: 9/22/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/17/2016
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.

CRD#: 36368 / SEC#: , 8-47198

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

Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
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#
MACQUARIE HOLDINGS (USA) INC.SHAREHOLDER
BACHTELER, TOBIASCO-CHIEF EXECUTIVE OFFICER4945558
CHAN, PAULINA MCHIEF COMPLIANCE OFFICER3211559
CONAHAN, JAMES SCHIEF FINANCIAL OFFICER/FINOP2538695
DE FREITAS, CARLOS ACHIEF OPERATING OFFICER4812920
FULTON, JANEEN KAYAML OFFICER3066508
VALENTINE, ROBERT GEOFFREYDIRECTOR5633577
VUOLO, JEREMY MURPHYCO-CHIEF EXECUTIVE OFFICER2798378

Disclosures

Regulatory Event4
Civil Event1

Red Flags

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Company Information

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368Houston, TX 77002

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