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Detailed Report
Luke James Allen
Luke J Allen
CRD#: 7946401
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 225 N 9TH ST
ADP- HOME OFFICE
BOISE, ID 83702
Registration History
Oct2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Alabama 9/9/2024
B
Nebraska 9/9/2024
B
Alaska 9/9/2024
B
Nevada 9/9/2024
B
Arizona 9/9/2024
B
New Hampshire 9/9/2024
B
Arkansas 9/9/2024
B
New Jersey 9/9/2024
B
California 9/9/2024
B
New Mexico 9/9/2024
B
Colorado 9/9/2024
B
New York 9/9/2024
B
Connecticut 9/9/2024
B
North Carolina 9/9/2024
B
Delaware 9/9/2024
B
North Dakota 9/9/2024
B
District of Columbia 9/9/2024
B
Ohio 9/10/2024
B
Florida 9/9/2024
B
Oklahoma 9/9/2024
B
Georgia 9/9/2024
B
Oregon 9/9/2024
B
Hawaii 9/9/2024
B
Pennsylvania 9/9/2024
B
Idaho 9/6/2024
B
Puerto Rico 9/9/2024
IA
Idaho 9/6/2024
B
Rhode Island 9/9/2024
B
Illinois 9/9/2024
B
South Carolina 9/9/2024
B
Indiana 9/9/2024
B
South Dakota 9/9/2024
B
Iowa 9/9/2024
B
Tennessee 9/9/2024
B
Kansas 9/9/2024
B
Texas 9/9/2024
B
Kentucky 9/9/2024
IA
Texas 9/9/2024
B
Louisiana 9/9/2024
B
Utah 9/9/2024
B
Maine 9/9/2024
B
Vermont 9/9/2024
B
Maryland 9/9/2024
B
Virgin Islands 9/9/2024
B
Massachusetts 9/9/2024
B
Virginia 9/9/2024
B
Michigan 9/9/2024
B
Washington 9/9/2024
B
Minnesota 9/9/2024
B
West Virginia 9/9/2024
B
Mississippi 9/9/2024
B
Wisconsin 9/9/2024
B
Missouri 9/9/2024
B
Wyoming 9/9/2024
B
Montana 9/9/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
225 N 9TH ST ADP- HOME OFFICE, BOISE, ID 83702
Registered with this firm since 9/6/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
225 N 9TH ST ADP- HOME OFFICE, BOISE, ID 83702
Registered with this firm since 8/1/2024
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.