Individual Firm
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NATHAN RICHARDSON ALLEN III
NATE ALLEN, NATHAN RICHARDSON ALLEN
CRD#: 2392046
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HOMRICH BERGCRD#: 316731 1 West Pennsylvania Avenue
Suite 800
Towson, MD 21204
Suite 800
Towson, MD 21204
0
Disclosures
21
Years of Experience
View By:
State Registrations
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Connecticut 11/13/2023
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New York 11/10/2023
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Louisiana 4/27/2023
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Pennsylvania 11/13/2023
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Maryland 11/13/2018
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Texas 1/29/2025
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Registered with this firm since 1/29/2025
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Registered with this firm since 11/13/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/2017 - 07/16/2018 | STAMFORD, CT | |
IA | 08/10/2012 - 06/08/2017 | STAMFORD, CT | |
IA | 08/31/2006 - 08/21/2012 | GREENWICH, CT | |
IA | 01/29/2003 - 09/12/2006 | STAMFORD, CT |
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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.
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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.