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EARLE WINSTON ALLEN
CRD#: 2099362
IA
B
CAPTRUSTCRD#: 175112 40 Wall Street
56th Floor
New York, NY 10005
56th Floor
New York, NY 10005
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 40 Wall Street
56th Floor
New York, NY 10005
56th Floor
New York, NY 10005
0
Disclosures
34
Years of Experience
View By:
State Registrations
B
California 6/9/2021
IA
New Jersey 3/1/2021
B
Connecticut 7/29/2021
B
New Jersey 6/1/2021
B
District of Columbia 8/6/2021
IA
New York 2/28/2021
B
Maine 6/9/2021
B
New York 6/1/2021
B
Maryland 6/9/2021
B
Virginia 8/12/2021
B
Massachusetts 6/9/2021
SRO Registrations
B
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IA
Registered with this firm since 2/28/2021
B
Registered with this firm since 5/24/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/01/2007 - 10/11/2021 | NEW YORK, NY | |
IA | 08/11/2009 - 05/18/2021 | New York, NY | |
B | 05/01/1992 - 01/31/2007 | NEW YORK, NY | |
B | 10/24/1990 - 09/15/1992 | NEW YORK, NY |
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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.