Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Roy Mellow is a financial advisor at UBS Financial Services Inc. Allen has been in the industry since December 7, 1967. Allen has extensive experience in the financial industry and holds a variety of licenses and certifications, including Series 7TO, SIE, Series 15, Series 53, Series 24, Series 4 and Series 12. Allen is also registered with the state of Texas and California, and has a strong track record of success. Prior to joining UBS Financial Services Inc, Allen worked at WEDBUSH, NOBLE, COOKE, INC and DEAN WITTER REYNOLDS INC.. Allen specializes in providing investment advice to individuals, families, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
02/08/1985 - Present
UBS Financial Services Inc. (SEAL BEACH CA)
NA
02/02/1981 - 01/23/1984
WEDBUSH, NOBLE, COOKE, INC
NA
02/24/1978 - 03/02/1981
DEAN WITTER REYNOLDS INC.
NA
12/08/1967 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
BC
Issued 01/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/07/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/27/1982
Series 24 - General Securities Principal Examination
BC
Issued 03/12/1982
Series 4 - Registered Options Principal Examination
BC
Issued 05/22/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 12/04/1967
Series 000 - General Securities Principal Examination
BC
Issued 12/04/1967
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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