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AL

Allen Lin

PHARUS SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 7565046
AL

Professional summary

Allen Lin is a registered financial professional currently at PHARUS SECURITIES, LLC located in New York, New York.

Allen is registered as a RR (Registered Representative) and started their career in finance in 2022. Allen has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Allen Lin's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 6, 2023 - Present

PHARUS SECURITIES, LLC

Office #1: 535 Fifth Avenue 25th Floor, New York, NY 10017
BD
CRD#: 148002
New York, NY
Past

July 11, 2022 - December 5, 2023

EDGEMONT CAPITAL PARTNERS, L.P.

BD
CRD#: 122572
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/11/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PHARUS SECURITIES, LLC
PHARUS SECURITIES, LLC

CRD#: 148002 / SEC#: , 8-67948

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
535 Fifth Avenue 25th Floor, New York, NY 10017
Mailing Address
535 Fifth Avenue 25th Floor, New York, NY 10017
Phone number
(212) 904-0100
Established
Delaware since 11/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PHARUS ADVISORS HOLDINGS, LLCMANAGING MEMBER
GOODMAN, MICHAEL EDWARDMANAGING DIRECTOR5582359
HARRELL, KENNETH MACYMANAGING PARTNER / CCO5576859
KIRSCHENBLATT, CHAD ETHANFINOP2503352

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.

Company Information

PHARUS SECURITIES, LLC

CRD#: 148002New York, NY 10017

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