Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Allen has been in the financial industry since 1988. Philip Allen is currently registered with Wells Fargo Clearing Services, LLC, a firm with offices in Chicago and Hinsdale, IL. Philip Allen has also been previously registered with UBS Financial Services Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., BANC OF AMERICA SECURITIES LLC, UBS WARBURG LLC, SBC WARBURG DILLON READ INC, BEAR, STEARNS & CO. INC., CS FIRST BOSTON CORPORATION, and SALOMON BROTHERS INC. Philip Allen is also a registered investment advisor in the states of Illinois and Texas. Philip Allen specializes in providing investment consulting services to institutional clients, as well as financial planning, pension consulting, and selection of other advisors. Philip Allen also provides portfolio management for businesses and individuals.
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.
Investment consulting services to institutional clients
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.
1
2
IL
10/02/2020 - Present
Wells Fargo Clearing Services, LLC (CHICAGO IL)
IL
01/30/2009 - 10/14/2020
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IL
08/14/2003 - 02/04/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHICAGO IL)
NY
01/25/2001 - 09/16/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
06/29/1998 - 02/21/2001
UBS WARBURG LLC (NEW YORK NY)
CT
09/24/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
04/11/1995 - 09/25/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
02/10/1992 - 04/11/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
11/22/1988 - 02/14/1992
SALOMON BROTHERS INC. (NEW YORK NY)
IA
Issued 08/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/1998
Series 24 - General Securities Principal Examination
BC
Issued 04/04/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1988
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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