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KIM GERALD ALLEN
KIM G ALLEN
CRD#: 1660033
IA
B
AMERITAS ADVISORY SERVICES, LLCCRD#: 317245 19607 NYS Route 3
Watertown, NY 13601
Watertown, NY 13601
AMERITAS INVESTMENT COMPANY, LLCCRD#: 14869 19607 NYS ROUTE 3
WATERTOWN, NY 13601
WATERTOWN, NY 13601
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8/11/2014
Customer Dispute
Denied
8/26/2002
Customer Dispute
Settled
2/12/1996
Customer Dispute
Settled
State Registrations
B
California 9/20/2017
B
Ohio 11/17/2014
B
Florida 1/8/2009
B
Pennsylvania 6/30/2006
B
New Jersey 10/11/2007
B
South Carolina 1/12/2012
B
New York 6/30/2006
B
Texas 9/10/2007
IA
New York 11/1/2021
IA
Texas 8/15/2023
B
North Carolina 1/4/2012
B
Virginia 1/8/2009
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/1/2021
B
Registered with this firm since 6/30/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2021 - 11/01/2021 | LINCOLN, NE | |
B | 01/16/2004 - 06/30/2006 | NEW YORK, NY | |
B | 02/06/2003 - 12/31/2003 | SYRACUSE, NY | |
B | 07/01/2002 - 01/31/2003 | BEDMINSTER, NJ | |
B | 03/19/1997 - 06/17/2002 | CINCINNATI, OH | |
B | 05/23/1996 - 03/14/1997 | DES MOINES, IA | |
B | 06/08/1987 - 12/07/1995 | NEWARK, NJ |
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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.