Fundraising Fox
/People
Sign in

Robert Allen

Investor

Vice President & Chief Compliance Officer at Caldwell Securities Ltd.

Toronto, Ontario, Canada

Find your path to Robert

Sign up to see every warm intro you have to Robert

  • Paths you didn't know you had: your email and LinkedIn already hold routes to Robert. We find them for you
  • 2nd- and 3rd-degree connections: the friend-of-a-friend routes that take hours to manually find through your inbox or LinkedIn
  • Answers now, not in days: momentum is everything in a raise. Skip asking around whether someone knows someone

Days of research, done the moment you sign in, with every route ranked by how warm it is.

Sign up with GoogleAlready have an account? Log in

About

Robert Allen is Vice President and Chief Compliance Officer at Caldwell Securities Ltd. He has 20 years of experience in compliance across buy-side and sell-side firms, with a focus on the design and implementation of compliance programs. His areas of expertise include institutional and retail business conduct, trading compliance, AML regulations and systems, regulatory policy analysis, and derivatives compliance.

Investments

Investor

Sitenna

Per curated public sources.

Colleagues at Caldwell Securities Ltd.

Alexander Hutchison
Investment Advisor at Caldwell Securities Ltd.
Alexander Stirpe
Investment Advisor at Caldwell Securities Ltd.
Andrew Scoon
Investment Advisor at Caldwell Securities Ltd.
Angela T. Stirpe
President & COO at Caldwell Securities Ltd.
Brandon De Assuncao
Investment Advisor at Caldwell Securities Ltd.
Brandon Hansen
Treasurer, Director – Independent at Indigenous Growth Fund
Brendan T.N. Caldwell
Director at Caldwell Securities Ltd.
Brian McCreery
Investment Advisor at Caldwell Securities Ltd.

Frequently asked questions

Who is Robert Allen?
Robert Allen is Vice President and Chief Compliance Officer at Caldwell Securities Ltd. He has 20 years of experience in compliance across buy-side and sell-side firms, with a focus on the design and implementation of compliance programs. His areas of expertise include institutional and retail business conduct, trading compliance, AML regulations and systems, regulatory policy analysis, and derivatives compliance.
Where does Robert Allen work?
Robert Allen is Vice President & Chief Compliance Officer at Caldwell Securities Ltd..
What companies has Robert Allen invested in?
Investments tracked here include Sitenna.

About this profile. Compiled from public sources — Caldwell Securities Ltd.'s own website and public professional profiles — and summarised by Fundraising Fox; every fact is kept with where it came from. Spotted an error, or would rather not be listed? Email privacy@fundraisingfox.com · How we build profiles · Your rights