Allison L. Stubbs
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.
Allison Leigh Stubbs, who also goes by Allison Leigh Stubbs, Allison Stubbs, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2014. Allison had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2019 - July 22, 2020
TD AMERITRADE, INC.
March 18, 2019 - July 22, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 18, 2019 - July 22, 2020
TD AMERITRADE, INC.
October 11, 2018 - February 20, 2019
PAYCHEX SECURITIES CORPORATION
November 30, 2017 - October 5, 2018
EQUITABLE ADVISORS, LLC
September 3, 2014 - October 5, 2018
EQUITABLE ADVISORS, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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