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Philippe Alexandre Allain

Paulson Investment Co. LLC

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About Philippe Alexandre Allain

Philippe Alexandre Allain is a securities professional with over two decades of experience in the financial industry. Philippe currently works as a registered representative at Paulson Investment Co. LLC in Fort Lauderdale, Florida. Philippe's career has spanned various firms and roles, including positions at MAXIM GROUP LLC, TULLETT PREBON FINANCIAL SERVICES LLC, FORDHAM FINANCIAL MANAGEMENT, INC., and JOSEPH GUNNAR & CO. LLC.

Firm Information

Philippe Allain is currently registered with Paulson Investment Co. LLC. Paulson Investment Co. LLC is a Limited Liability Company formed on March 23, 2017, and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has a history of 33 regulatory events, 1 civil event, 8 arbitrations, and 1 bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Philippe Allain’s Registration & Firm History

FL

04/18/2023 - Present

Paulson Investment Co. LLC (Fort Lauderdale FL)

FL

02/08/2023 - 03/27/2023

MAXIM GROUP LLC (Ft Lauderdale FL)

FL

01/21/2020 - 12/20/2022

TULLETT PREBON FINANCIAL SERVICES LLC (BOCA RATON FL)

NY

04/24/2018 - 01/17/2020

FORDHAM FINANCIAL MANAGEMENT, INC. (New York NY)

NY

10/11/2016 - 04/19/2018

JOSEPH GUNNAR & CO. LLC (UNIONDALE NY)

NY

11/06/2013 - 01/08/2016

SUNRISE BROKERS LLC (NEW YORK NY)

NY

01/08/2013 - 10/28/2013

DU PASQUIER & CO., INC. (NEW YORK NY)

NY

07/18/2012 - 12/11/2012

MEYERS ASSOCIATES, L.P. (NEW YORK NY)

NY

02/25/2010 - 10/22/2010

TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)

IL

01/23/2006 - 10/19/2009

NEWEDGE USA, LLC (CHICAGO IL)

NY

10/14/2004 - 02/16/2006

MAXIM GROUP LLC (NEW YORK NY)

NA

07/03/2002 - 09/07/2004

LOUIS CAPITAL MARKETS, LP (PARIS )

NY

11/28/2001 - 05/29/2002

NATEXIS SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/15/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/28/2007

Series 24 - General Securities Principal Examination

BC

Issued 04/18/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/27/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Philippe Alexandre Allain.
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