Carrie H. Nobles

Some features on this profile are disabled

CRD#: 1387203

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carrie Huddleston Nobles, who also goes by Carrie Frances Huddleston, Carrie Huddleston Johnson, was a registered financial professional .

Carrie is a previously registered financial professional and started their career in finance in 1986. Carrie had worked at 3 firms and has passed the Series 63, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carrie Frances Huddleston | Carrie Huddleston Johnson

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.

TRUST OFFICER FOR ALLEN TRUST COMPANY, SINCE 2008. I SPEND APPROXIMATELY 40 HOURS A WEEK ON ALLEN TRUST COMPANY BUSINESS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 24, 2012 - April 3, 2023

ALLEN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135147

VANCOUVER, WA

Past

April 14, 1987 - February 22, 1988

BOOTH INVESTMENTS CORP.

CRD#: 8589

Past

December 12, 1986 - March 17, 1987

COMMONWEALTH EQUITY SECURITIES

CRD#: 8515

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".

ALLEN CAPITAL MANAGEMENT, LLC

CRD#: 135147 / SEC#: 801-67018

RIA

Registered Investment Advisory firm - (7/17/2006 Approved)

Oregon

Registered Investment Advisory firm - (7/21/2006 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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 12/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 12/11/1986

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 3/13/1987

Direct Participation Programs Principal Examination

Current Firm

ALLEN CAPITAL MANAGEMENT, LLC

CRD#: 135147 / SEC#: 801-67018

RIA

Registered Investment Advisory firm - (7/17/2006 Approved)

Oregon

Registered Investment Advisory firm - (7/21/2006 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

701 Columbia St, Ste 104, Vancouver, WA 98660

Mailing Address

Phone number

(503) 292-1041

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLEN CAPITAL MANAGEMENT ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	218
AUM (Assets Under Management)	$ 192,433,350

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carrie H. Nobles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLEN CAPITAL MANAGEMENT, LLC

BOOTH INVESTMENTS CORP.

COMMONWEALTH EQUITY SECURITIES

Primary Firm SEC Registration

ALLEN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/1986

Series 22

Date: 12/11/1986

Series 39

Date: 3/13/1987

Current Firm

ALLEN CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLEN CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors