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AL

Allison M. Lindh

LIBERTY ASSOCIATES
New York, NY 10017
Some features on this profile are disabled
CRD#: 6309401
AL

Professional summary

Allison Marie Lindh is a registered financial professional currently at LIBERTY ASSOCIATES, INC. located in New York, New York.

Allison is registered as a RR (Registered Representative) and started their career in finance in 2014. Allison has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 52, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Allison Marie Lindh's CRS (Customer Relationship Summary).
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 19, 2015 - Present

LIBERTY ASSOCIATES, INC.

Office #1: 501 Fifth Avenue 15th Floor, New York, NY, 10017
BD
CRD#: 15071
New York, NY
Past

October 30, 2019 - September 15, 2021

US WEALTH MANAGEMENT ADVISORS

RIA
CRD#: 304346
NEW YORK, NY
Past

March 13, 2014 - January 16, 2015

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC

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
California
(3/20/2018)
RR
Illinois
(3/21/2018)
RR
New York
(1/19/2015)
RR
Puerto Rico
(3/19/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/17/2014
Uniform Securities Agent State Law Examination
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 52
Date: 11/5/2014
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/12/2015
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/13/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/2/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LIBERTY ASSOCIATES, INC.
LIBERTY ASSOCIATES, INC.

CRD#: 15071 / SEC#: , 8-31505

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

Main Address
501 Fifth Avenue 15th Floor, New York, NY, 10017
Mailing Address
501 Fifth Aveue 15th Floor, New York, NY, 10017
Phone number
(212) 869-8224
Established
New York since 02/28/1984
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AZRILIANT, EVAN BRETOWNER6893576
LINDH, ALLISON MARIECHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER6309401

Disclosures

Regulatory Event3

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

LIBERTY ASSOCIATES, INC.

CRD#: 15071New York, NY 10017

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