Richard D. Allen

4 SEASONS ADVISORS

PRINCETON, WV 24740

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CRD#: 1292788

Professional summary

Richard David Allen is a registered financial advisor currently at 4 SEASONS ADVISORS located in Princeton, West Virginia.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 26 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.

THE INSURANCE STORE~1122 MERCER ST, PRINCEON, WV 24740~OUTBROKERAGE INSURANCE SALES~N~PRES SALES~0201/1998~160 HRS/MO~160 TRADING HRS/MO|R AND D RENTAL~1122 MERCER ST, PRINCETON, WV 24740~RENTAL PROPERTY~N~PARTNER~03/01/2003~5 HRS/MO~5 TRADING HRS/MO|MOUNTIAN STATE AGENCY ALLIANCE~4301 MCCORKLE AVE, CHARLESTON, WV 25301~P AND C INSURANCE SALES~N~SALES~05/01/2001~40 HRS/MO~40 TRADING HRS/MO|R AND C WELLNESS~349 MAPLE ACRES RD, PRINCETON, WV 24740~SALE OF DIATARY SUPPLEMENTS~N~OWNER~12/15/2006~1 HRS/MO~1 TRADING HRS/MO|ALLIANZ LIFE IN CO OF NORTH AMERICA|AMERICAN ECONOMY INS CO|AMERICAN EQUITY INVEST LIFE INS CO 102211|AMERICAN GENERAL LIFE INS CO|AMERICAN NAT'L LIFE|AMERICAN STATES INS CO|AMERICAN ZURICH INS CO|AMERICAN FIRE AND CASUALTY COMPANY|ASSUR CO OF AM|AVIVA LIFE & ANNUITY CO|AXA EQUITABLE LIFE INSURANCE CO|CELINA MUTUAL INS CO|CHARTER OAK FIRE INS CO|DELOS INSURANCE COMOANY|DAIRYLAND INS CO|ENCOMPASS INDEMNITY CO|ENCOMPASS INS CO OF A>960

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard David 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

July 20, 2012 - Present

4 SEASONS ADVISORS

Office #1: 1122 Mercer Street, Princeton, WV 24740

RIA

CRD#: 163219

PRINCETON, WV

Past

June 28, 2011 - December 1, 2011

KALOS MANAGEMENT

RIA

CRD#: 133025

PRINCETON, WV

Past

June 9, 2011 - December 1, 2011

KALOS CAPITAL, INC.

CRD#: 44337

PRINCETON, WV

Past

November 14, 2000 - August 27, 2009

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

PRINCETON, WV

Past

September 6, 1984 - August 27, 2009

PRUCO SECURITIES, LLC.

CRD#: 5685

PRINCETON, WV

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

West Virginia
(7/20/2012)

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: 10/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/5/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/10/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

4 SEASONS ADVISORS

4 SEASONS ADVISORS | THE INSURANCE STORE | 4 SEASONS ADVISORS, LLC

CRD#: 163219 / SEC#:

West Virginia

Registered Investment Advisory firm - (7/20/2012 Approved)

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Contact information

Main Address

1122 Mercer Street, Princeton, WV 24740

Mailing Address

Phone number

(304) 431-3633

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 700,000

Red Flags

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

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Richard D. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard David Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

4 SEASONS ADVISORS

KALOS MANAGEMENT

KALOS CAPITAL, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2000

Series 63

Date: 9/6/1984

Series 6

Date: 9/5/1984

Series 26

Date: 2/10/1997

Current Firm

4 SEASONS ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

4 SEASONS ADVISORS

TRUST BUT VERIFY

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