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GARY ALLEN
GARY STEVEN ALLEN
CRD#: 2515244
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 25220 HANCOCK AVE
SUITE 300
MURRIETA, CA 92562
SUITE 300
MURRIETA, CA 92562
0
Disclosures
30
Years of Experience
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State Registrations
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Alabama 4/15/2019
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Nebraska 4/3/2019
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Alaska 4/10/2019
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Nevada 4/3/2019
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Arizona 4/3/2019
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New Jersey 4/3/2019
B
Arkansas 9/6/2019
B
New Mexico 4/3/2019
B
California 4/3/2019
B
New York 4/3/2019
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California 4/3/2019
B
North Carolina 4/12/2019
B
Colorado 4/3/2019
B
Ohio 4/3/2019
B
Florida 4/3/2019
B
Oregon 4/3/2019
B
Georgia 4/3/2019
B
Pennsylvania 4/3/2019
B
Hawaii 4/12/2019
B
South Dakota 4/3/2019
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Idaho 4/3/2019
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South Dakota 8/3/2021
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Illinois 5/30/2019
B
Tennessee 4/3/2019
B
Indiana 4/22/2019
B
Texas 4/3/2019
B
Maine 4/3/2019
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Texas 4/3/2019
B
Maryland 4/3/2019
B
Utah 4/3/2019
B
Massachusetts 9/3/2019
B
Virginia 4/3/2019
B
Michigan 4/3/2019
B
Washington 4/5/2019
B
Minnesota 4/15/2019
B
West Virginia 3/2/2020
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Missouri 4/3/2019
SRO Registrations
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Registered with this firm since 4/3/2019
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Registered with this firm since 4/3/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/16/2008 - 04/04/2019 | RAPID CITY, SD | |
B | 10/16/2008 - 04/04/2019 | TEMECULA, CA | |
IA | 02/15/2007 - 07/28/2008 | SAN DIEGO, CA | |
B | 02/15/2007 - 07/28/2008 | LAGUNA HILLS, CA | |
IA | 07/08/1997 - 01/30/2007 | RANCHO SANTE FE, CA | |
B | 08/22/1994 - 01/30/2007 | RANCHO SANTE FE, CA |
RAPID CITY, SD
10/16/2008 - 04/04/2019
SAN DIEGO, CA
02/15/2007 - 07/28/2008
LAGUNA HILLS, CA
02/15/2007 - 07/28/2008
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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.