George B. Allen

G.B. ALLEN ASSOCIATES

PARAMUS, NJ 07652

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CRD#: 1284859

Professional summary

George Bruce Allen is a registered financial advisor currently at G.B. ALLEN ASSOCIATES, INC. located in Paramus, New Jersey.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. George has worked at 4 firms and has passed the Series 65, Series 63, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

GB ALLEN, CASTRO & ASSOCIATES GEORGE B. ALLEN, PRESIDENT CPA FIRM OWNER OF BOTH BUSINESS START DATE: 01/1987 HOURS: 80 PER MONTH FUNCTIONS INCLUDE MANAGING PARTNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Bruce Allen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 18, 2004 - Present

G.B. ALLEN ASSOCIATES, INC.

Office #1: 140 Rt 17 N., Ste. 350, Paramus, NJ 07652

RIA

CRD#: 112737

PARAMUS, NJ

Past

March 27, 1991 - December 31, 1992

BROADPOINT DESCAP

CRD#: 14997

Past

May 6, 1987 - September 7, 1990

W.D.R. EQUITY RESOURCES, INC.

CRD#: 14241

Past

October 21, 1985 - March 3, 1987

F. L. EQUITIES, INC.

CRD#: 15379

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(10/18/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 12/3/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 12/3/1984

Direct Participation Programs Principal Examination

Current Firm

G.B. ALLEN ASSOCIATES, INC.

ALLEN G B ASSOCIATES INC. | G.B. ALLEN ASSOCIATES, INC.

CRD#: 112737 / SEC#: 801-56544

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

Florida

Registered Investment Advisory firm - (11/25/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2012 Approved)

New York

Registered Investment Advisory firm - (10/30/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

85 Chestnut Ridge Road Ste 215, Montvale, NJ 07645

Mailing Address

Phone number

(201) 262-7878

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 99,644,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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George B. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Bruce Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

G.B. ALLEN ASSOCIATES, INC.

BROADPOINT DESCAP

W.D.R. EQUITY RESOURCES, INC.

F. L. EQUITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2011

Series 63

Date: 11/15/1985

Series 22

Date: 12/3/1984

Series 39

Date: 12/3/1984

Current Firm

G.B. ALLEN ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

G.B. ALLEN ASSOCIATES, INC.

TRUST BUT VERIFY

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