Allen M. Green
Professional summary
Allen Michael Green was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Allen is a previously registered financial advisor and started their career in finance in 1976. Prior to being barred, Allen had worked at 14 firms, which includes ROYAL SECURITIES COMPANY, CULLUM & BURKS SECURITIES INC., REGIS SECURITIES CORPORATION, SICOR SECURITIES INC, QUESTAR CAPITAL CORPORATION, MEDALLION EQUITIES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, MARINER FINANCIAL SERVICES INC., PFS INVESTMENTS INC., SMITH HAGUE & CO. INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2009 - April 11, 2013
ROYAL SECURITIES COMPANY
May 31, 2006 - May 31, 2006
CULLUM & BURKS SECURITIES, INC.
May 18, 2006 - November 19, 2009
CULLUM & BURKS SECURITIES, INC.
January 31, 2003 - May 19, 2006
REGIS SECURITIES CORPORATION
July 1, 2002 - January 31, 2003
SICOR SECURITIES INC
May 10, 2001 - July 3, 2002
QUESTAR CAPITAL CORPORATION
November 18, 1997 - May 10, 2001
MEDALLION EQUITIES, INC.
August 27, 1997 - November 19, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 1, 1993 - August 27, 1997
MARINER FINANCIAL SERVICES, INC.
July 27, 1988 - September 3, 1993
PFS INVESTMENTS INC.
September 8, 1980 - November 7, 1985
SMITH, HAGUE & CO., INCORPORATED
August 6, 1979 - October 5, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1977 - May 23, 1980
SMITH, HAGUE & CO., INCORPORATED
July 1, 1976 - November 30, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
July 1, 1976 - November 30, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 1976 - November 30, 1977
IDS LIFE INSURANCE COMPANY
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 1
Date: 9/24/1976
Registered Representative ExaminationCurrent Firm
ROYAL SECURITIES COMPANY
CRD#: 10702 / SEC#: 801-110648, 8-28009
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RSC HOLDINGS, INC. | SHAREHOLDER | |
| DUMEZ, TIMOTHY VAN HAITSMA | PRESIDENT/CHIEF OPERATIONS OFFICER, CCO | 1839802 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
