Kevin Allen
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.
Kevin Allen, who also goes by Kevin Thomas Allen, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2014. Kevin had worked at 4 firms and has passed the Series 66, SIE, Series 79, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2018 - February 22, 2019
BTIG, LLC
June 1, 2017 - June 28, 2018
THE VERTICAL GROUP
January 5, 2016 - May 23, 2017
NOBLE CAPITAL MARKETS, INC.
August 4, 2014 - December 28, 2015
SIDOTI & COMPANY, 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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
