Bradford W. 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.
Bradford William Allen, who also goes by Brad Allen, was a registered financial professional .
Bradford is a previously registered financial professional and started their career in finance in 1981. Bradford had worked at 6 firms and has passed the Series 63, SIE, Series 62 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
May 7, 2014 - May 22, 2015
SILBER BENNETT FINANCIAL, INC.
March 23, 1995 - June 6, 1996
CITIGROUP GLOBAL MARKETS INC.
January 25, 1995 - March 14, 1995
SEABOARD SECURITIES, INC.
August 9, 1991 - December 8, 1992
ROTH CAPITAL PARTNERS, LLC
March 30, 1988 - December 12, 1989
ROTH CAPITAL PARTNERS, LLC
June 20, 1986 - March 1, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
April 26, 1982 - July 17, 1986
E. F. HUTTON & COMPANY INC
May 18, 1981 - August 24, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
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: 5/7/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
SILBER BENNETT FINANCIAL, INC.
CRD#: 156435 / SEC#: , 8-68795
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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