PA
Phillip C. Allen
MADISON AVENUE SECURITIES
Greenville, SC 29615
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CRD#: 1337542
PA
Professional summary
Phillip Clifton Allen, who also goes by Phillip C Allen, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Greenville, South Carolina.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Phillip has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phillip C Allen
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.
NAME: PHILLIP ALLEN INC.; INV RELATED:YES; ADDRESS:158 MILESTONE WAY GREENVILLE, SC 29615; NATURE:INSURANCE SALES; POSITION:OWNER; START DATE:12/13/2005; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES:OWNER-INSURANCE SALES
NAME:COMMON SENSE RETIREMENT PLANNING (CSRP); INV RELATED:YES; ADDRESS:158 MILESTONE WAY, GREENVILLE, SC 29615; NATURE:RADIO SHOW; POSITION:RADIO SHOW HOST; START DATE:PRIOR TO 2017; HOURS/MONTH:10; TRADING HOURS/MONTH:10; DUTIES: RADIO SHOW HOST
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Clifton Allen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip Clifton 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®
NoneExperience
Current
March 27, 2018 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 158 Milestone Way, Greenville, SC 29615RIA
BD
CRD#: 23224
Greenville, SC
Current
September 29, 2017 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 158 Milestone Way, Greenville, SC 29615RIA
BD
CRD#: 23224
Greenville, SC
Past
January 2, 2004 - October 6, 2017
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
GREENVILLE, SC
Past
February 26, 2002 - December 31, 2003
W.C. SMITH & COMPANY, INC.
BD
CRD#: 36865
GREENVILLE, SC
Past
May 22, 2001 - March 7, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
September 29, 1999 - May 9, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 28, 1997 - September 30, 1999
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
September 24, 1996 - December 31, 1996
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
May 8, 1996 - October 3, 1996
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
October 9, 1995 - May 1, 1996
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
February 20, 1985 - October 4, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2018)
RR
Arizona(5/28/2020)
RR
Arkansas(11/29/2022)
RR
California(7/11/2022)
RR
Colorado(8/9/2024)
RR
Florida(10/16/2017)
RR
Georgia(10/30/2017)
RR
Illinois(2/18/2022)
RR
Indiana(2/25/2019)
RR
Maryland(6/24/2019)
RR
Mississippi(3/1/2018)
RR
Montana(2/14/2019)
RR
North Carolina(10/10/2017)
RR
Ohio(8/25/2023)
RR
Pennsylvania(7/8/2022)
RR
Rhode Island(12/5/2022)
RR
South Carolina(10/2/2017)
IAR
South Carolina(3/27/2018)
RR
Tennessee(10/17/2019)
RR
Texas(11/15/2017)
IAR
Texas(12/14/2022)
RR
Washington(11/7/2017)
RR
West Virginia(12/16/2024)
RR
Wyoming(1/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
Company Information
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Greenville, SC 29615TRUST BUT VERIFY
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