Harvey B. Allon
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.
Harvey Baer Allon was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1981. Harvey had worked at 8 firms and has passed the Series 63, Series 3, Series 7, Series 4 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
January 1, 1999 - December 31, 2012
BRADDOCK FINANCIAL LLC
January 1, 1999 - March 29, 2023
BRADDOCK FINANCIAL LLC
June 3, 1998 - July 5, 2001
GREENWICH FINANCIAL SERVICES, L.L.C.
December 19, 1994 - June 3, 1996
ALL-TECH DIRECT, INC.
September 16, 1987 - May 17, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
October 6, 1986 - July 27, 1987
PRINTON, KANE GOVERNMENT SECURITIES, INC.
January 20, 1984 - March 12, 1984
B. J. LEONARD AND COMPANY, INC.
April 1, 1982 - January 12, 1984
BLINDER, ROBINSON & CO., INC.
March 23, 1981 - March 3, 1982
G. S. OMNI CORPORATION
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
BRADDOCK FINANCIAL LLC
CRD#: 112732 / SEC#: 801-60893
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 565,436,575 |
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.
