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Allyne Riese Kendall Iii

CRD# 707275·Registered 1980 - 2004
Barred: Allyne Riese Kendall III was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Allyne Riese Kendall III, who also goes by Allyne Riese Kendall, was a registered financial advisor. Allyne was a previously registered financial professional and started their career in finance 1980 - 2004. Allyne had worked at 13 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Allyne Riese Kendall

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

46 years in the financial services industry

Current & Past Employments

FIRST WALL STREET CORP.·CRD# 13024
BD
La Jolla, CA
August 4, 2003 - October 15, 2004
WEDBUSH SECURITIES INC.·CRD# 877
BD
Pasadena, CA
November 4, 2002 - August 4, 2003
FIRST WALL STREET CORP.·CRD# 13024
BD
La Jolla, CA
July 26, 2000 - November 1, 2002
WEDBUSH SECURITIES INC.·CRD# 877
BD
Pasadena, CA
February 22, 1999 - July 7, 2000
SUTRO & CO. INCORPORATED·CRD# 801
BD
San Francisco, CA
October 24, 1995 - February 1, 1999
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
September 1, 1993 - October 12, 1995
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
March 15, 1991 - September 2, 1993
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
September 4, 1990 - March 22, 1991
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED·CRD# 76
BD
October 13, 1989 - September 4, 1990
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
October 13, 1987 - October 13, 1989
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
June 4, 1985 - October 12, 1987
SECURITIES RESOLUTION CORPORATION·CRD# 7119
BD
April 23, 1985 - May 31, 1985
E. F. HUTTON & COMPANY INC·CRD# 235
BD
April 10, 1984 - April 16, 1985
M.L. STERN & CO., LLC.·CRD# 8327
BD
September 3, 1980 - April 2, 1984
CALIFORNIA MUNICIPAL INVESTORS, INC.·CRD# 7311
BD
April 24, 1980 - October 3, 1980

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Current Firm

FW
FIRST WALL STREET CORP.

1ST WALL STREET CORP OF NEVADA | FIRST WALL STREET CORP.

CRD#: 13024 / SEC#: 8-28441
BD
Terminated by SEC on 02/17/2009

Contact Information

Established

California since 09/15/1982

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
LAZZARO, CHARLES PAULPRESIDENT304489
DUDLEY, KATRINA LINDIRECTOR OF OPERATIONS/CHIEF COMPLIANCE OFFICER1471937
SWANSON, JON CRAIGROSFP5010899

Disclosures

Regulatory Event

7

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1980About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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