Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chad? Claim Your ProfileChad Allen has been in the financial services industry since 1996 and is currently registered with Oppenheimer & Co. Inc. Chad has a wide range of experience, having previously worked for UBS Financial Services Inc., Banc of America Investment Services, Inc., Salomon Smith Barney Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Chad is licensed to provide securities and investment advisory services in several states, including New York, New Jersey, Texas, Arizona, Colorado, Connecticut, Florida, Massachusetts, and Pennsylvania. Chad holds several industry licenses and certifications, including Series 7, 3, 63, 24, 65, 10, 9, 99TO and SIE.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
08/13/2015 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
02/25/2005 - 08/12/2015
UBS FINANCIAL SERVICES INC. (GARDEN CITY NY)
MA
12/16/2002 - 02/25/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
11/04/1999 - 12/18/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/10/1996 - 11/03/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/27/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/18/2005
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 01/04/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/29/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2002
Series 3 - National Commodity Futures Examination
BC
Issued 04/09/1996
Series 7 - General Securities Representative Examination
Active
Inactive
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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