Individual Firm
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WALTER NEWTON ALLEN
WALLY ALLEN
CRD#: 1267425
IA
B
KESTRA ADVISORY SERVICES, LLCCRD#: 283330 Santa Fe, NM
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 746 Camino Francisca
Santa Fe, NM 87506
Santa Fe, NM 87506
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
California 4/13/2017
B
New York 4/13/2017
B
Delaware 3/25/2019
B
North Carolina 11/16/2020
B
Florida 4/13/2017
B
Pennsylvania 4/13/2017
B
New Jersey 4/13/2017
B
Texas 4/13/2017
B
New Mexico 4/13/2017
B
Virginia 4/13/2017
IA
New Mexico 4/13/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
Registered with this firm since 4/13/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/02/2000 - 04/18/2017 | SANTA FE, NM | |
B | 11/24/1997 - 04/18/2017 | SANTA FE, NM | |
B | 01/20/1995 - 12/09/1997 | EMMAUS, PA | |
B | 02/10/1992 - 01/27/1995 | HARTFORD, CT | |
B | 11/12/1987 - 02/06/1992 | WILLIAMSVILLE, NY | |
B | 05/23/1984 - 11/19/1987 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.