Brian Allen is a registered investment advisor, based in Sandusky, OH, with 32 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold.
Location
300E Water Street, Sandusky, OH, 44870
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Regulatory History (1)
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Customer Dispute
May 2020Settled
Other Business Activities
Brian is the president of BPJLA Holdings, LLC, which facilitates his status as an independent contractor, dedicating about half his time to it. He also serves on an advisory finance committee for the City of Sandusky, Ohio, spending minimal time and receiving no compensation.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
May 2021 - Present · 5 yrs 5 mos
Raymond James Financial Services, INC.Broker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
UBS Financial Services INC.
April 2009 - May 2021 · 12 yrs 1 mo
UBS Financial Services INC.Broker
April 2009 - May 2021 · 12 yrs 1 mo
Citigroup Global Markets INC.
January 2001 - April 2009 · 8 yrs 3 mos
Citigroup Global Markets INC.Broker
July 2000 - April 2009 · 8 yrs 9 mos
Mcdonald Investments INC.Broker
June 1996 - July 2000 · 4 yrs 1 mo
Dean Witter Reynolds INC.Broker
April 1994 - July 1996 · 2 yrs 3 mos
State Registrations14 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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