Frederick C. 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.
Frederick Charles Allen, who also goes by Fredrick Allen, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2017. Frederick had worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 62 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
July 18, 2019 - February 24, 2020
OPENDEAL BROKER LLC
February 23, 2017 - July 31, 2019
INTE SECURITIES 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
Series 62
Date: 2/23/2017
Corporate Securities Limited Representative ExaminationCurrent Firm
OPENDEAL BROKER LLC
CRD#: 297797 / SEC#: , 8-70188
Contact information
Documents
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.
