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CATHERINE B. ALLEN-CARLOZO
CANDY ALLEN, CATHERINE BARBARA ALLEN, Catherine Barbara Puketza
CRD#: 1518104
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Investment Adviser
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Previous Broker
HFM INVESTMENT ADVISORS, LLCCRD#: 289103 102 WEST HIGH STREET
SUITE 200
GLASSBORO, NJ 08028
Registration History
19952000200520102015202020252 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2018 (9 years)IAHFM INVESTMENT ADVISORS, LLC (CRD# 289103)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2006 - 2008 (2 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2001 - 2006 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2001 (6 years)IAM FINANCIAL PLANNING SERVICES, INC (CRD# 121207)2010 - 2018 (7 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2007 - 2008 (1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2006 (2 years)
Disclosure(s)
View By:
8/28/2007
Customer Dispute
Denied
License(s)

State Registrations

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New Jersey 10/4/2018

Current Registration(s)
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HFM INVESTMENT ADVISORS, LLC (CRD#:289103)
102 WEST HIGH STREET SUITE 200, GLASSBORO, NJ 08028
Registered with this firm since 10/4/2018

Previous Registration(s)
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11/09/2010 - 10/09/2018 M FINANCIAL PLANNING SERVICES, INC (CRD#:121207) MARLTON, NJ
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09/22/2009 - 10/09/2018 LPL FINANCIAL LLC (CRD#:6413) MARLTON, NJ
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09/18/2009 - 10/09/2018 LPL FINANCIAL LLC (CRD#:6413) MARLTON, NJ
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01/20/2009 - 09/21/2009 PNC INVESTMENTS (CRD#:129052) DELRAN, NJ
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01/20/2009 - 09/21/2009 PNC INVESTMENTS (CRD#:129052) DELRAN, NJ
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01/10/2007 - 12/31/2008 STRATEGIC ADVISERS, INC. (CRD#:104555) SOUTH MARLTON, NJ
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11/01/2006 - 12/31/2008 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) MARLTON, NJ
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11/10/2003 - 10/10/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) HARTFORD, CT
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01/10/2001 - 10/10/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) HARTFORD, CT
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08/23/1994 - 01/18/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Disclosures
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.