BA
Bruce G. Allen
BRUCE G. ALLEN INVESTMENTS
DENVER, CO 80209
Some features on this profile are disabled
CRD#: 1397083
BA
Professional summary
Bruce Grosvenor Allen, CIMA®, CPWA® is a registered financial advisor currently at BRUCE G. ALLEN INVESTMENTS, LLC located in Denver, Colorado and M. S. HOWELLS & CO. located in Denver, Colorado.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Bruce has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 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.
1) MAY 2, 2014; 1961 BAROLO LLC;370 17TH ST., STE. 3580, DENVER, CO 80202; NON INVESTMENT RELATED; PROPERTY/OWNERSHIP/MANAGEMENT; MANAGER/MEMBER; DEVOTE 1 HR/MONTH, 0 DURING MARKET HOURS. 2) 1998; IDKF, 370 17TH ST. STE. 3580. DENVER, CO 80202; NON INVESTMENT RELATED; NATURE OF BUSINESS IS WHOLESALE; POSITION IS OWNER; DUTIES ARE RUNNING BUSINESS, WHICH HAS FROM TIME TO TIME ENGAGED IN WHOLESALE RETAIL; DEVOTE 1 HR/MONTH, 0 DURING SECURITIES MARKET HOURS. 3) JUNE 2018; FOX 31 AND CHANNEL 2, DENVER CO; NON INVESTMENT RELATED; APPEARANCE FOR BRIEF INTERVIEW; INTERVIEW GUEST; ANSWER QUESTIONS,PROVIDE A GENERAL PERSEPCTIVE AND/OR OVERVIEW OF MARKET ACTIVITIES; DEVOTE 0-3 HOURS/MONTH, 0-1 HOUR DURING MARKET HOURS. 4) OCT 2013; HARD SELL, LLC, 370 17TH ST. STE. 3580. DENVER, CO 80202; NON INVESTMENT RELATED; DIRECT, PASSIVE INVESTMENT IN INDEPENDENT MOVIE PROJECT, NO ACTIVE ROLE, NO SOLICITATION TO OTHERS;POSITION-INVESTOR; DEVOTE 0 HOURS PER MONTH. 5) JUNE 1998; INSURANCE SALES-BRUCE G ALLEN INVESTMENTS, 370 17TH ST. STE. 3580 DENVER, CO 80202; NON INVESTMENT RELATED; NATURE OF BUSINESS IS INSURANCE AGENT; POSITION IS LIFE INSURANCE AGENT; DUTIES ARE INSURANCE ADVICE; DEVOTE 0-5 HOURS/MONTH DURING MARKET HOURS. 6) SEPT 2017; BRUCE G ALLEN INVESTMENTS LLC, 370 17TH STREET - SUITE 3580 - DENVER CO 80202; INVESTMENT RELATED; NATURE OF BUSINESS: INDEPENDENT INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP:PRESIDENT; DUTIES; HELPING CLIENTS CLARIFY THEIR FINANCIAL GOALS, CREATING A DIVERS ASSET ALLOCATION AND MANAGING CLIENT ASSETS FOR A FEE; DEVOTE 40-50 HOURS/MONTH DURING MARKET HOURS. 7) MARCH 2003; CHANNEL 4 NEWS; 1044 LINCOLN STREET DENVER CO 80203; NON INVESTMENT RELATED; APPEARANCES FOR BRIEF INTERVIEWS; GUEST - NOT EMPLOYED BY CHANNEL 4; ANSWER QUESTIONS AND PROVIDE A GENERAL PERSPECTIVE AND/OR OVERVIEW OF MARKET ACTIVITIES; DEVOTE 0 -3 HOURS PER MONTH, 0-1 HOURS DURING MARKET HOURS. 8) MARCH 2003; DENVER 7 NEWS MORNING SHOW; 123 SPEER BLVD DENVER CO 80203; NOT INVESTMENT RELATED; APPEARANCES FOR BRIEF INTERVIEWS; GUEST - NOT EMPLOYED BY DENVER 7 NEWS; ANSWER QUESTIONS AND PROVIDE A GENERAL PERSPECTIVE AND/OR OVERVIEW OF MARKET ACTIVITIES; DEVOTE 1 HOURS/MONTH, 0-1 DURING MARKET HOURS. 9) MARCH 2003; CHANNEL 9 NEWS; 500 E. SPEER BLVD; DENVER CO 80203; NOT INVESTMENT RELATED; APPEARANCES FOR BRIEF INTERVIEWS; GUEST - NOT EMPLOYED BY CHANNEL 9 NEWS; ANSWER QUESTIONS; PROVIDE A GENERAL PERSPECTIVE AND/OR OVERVIEW OF MARKET ACTIVITIES; DEVOTE 0-3 HOURS PER MONTH, 0-1 HOURS DURING MARKET HOURS 10) JUNE 2021; KUSA-TV 9 NEWS, DENVER, CO; NOT INVESTMENT RELATED; APPEARING 'LIVE' OR VIA SKYPE IN INTERVIEWS /WEEKLY MONEY MATTERS SEGMENTS; WEEKLY INTERVIEWEE; APPEAR WEEKLY PROVIDING COMMENTARY ON FINANCIAL MATTERS; DEVOTE 2 HRS/MONTH DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Grosvenor 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®
CPWA®
Start date: 2008-06-10
Expire date: 2024-08-31
Experience
Current
September 29, 2017 - Present
BRUCE G. ALLEN INVESTMENTS, LLC
Office #1: 3200 E Cherry Creek South Drive Suite 640, Denver, CO 80209RIA
CRD#: 287859
DENVER, CO
Current
September 14, 2017 - Present
M. S. HOWELLS & CO.
Office #1: 370 17th Street Suite 3580, Denver, CO 80202BD
CRD#: 104100
Denver, CO
Past
September 1, 2004 - October 12, 2017
NATIONS FINANCIAL GROUP, INC.
RIA
CRD#: 44181
DENVER, CO
Past
September 1, 2004 - October 12, 2017
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
DENVER, CO
Past
April 19, 2002 - August 31, 2004
CASCADE FINANCIAL MANAGEMENT, INC.
BD
CRD#: 119030
DENVER, CO
Past
April 11, 2002 - August 31, 2004
CASCADE FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 119030
DENVER, CO
Past
July 27, 2001 - May 10, 2002
CASCADE INVESTMENT GROUP, INC.
BD
CRD#: 35844
COLORADO SPRINGS, CO
Past
March 2, 1998 - August 6, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
November 11, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
April 20, 1990 - November 28, 1994
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
April 11, 1988 - May 10, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 23, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
BG
BRUCE G. ALLEN INVESTMENTS, LLC
BRUCE G. ALLEN INVESTMENTS, LLC
CRD#: 287859 / SEC#: 801-111789
RIA
Registered Investment Advisory firm - (9/29/2017 Approved)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
Arizona(9/14/2017)
RR
California(7/29/2020)
RR
Colorado(9/14/2017)
IAR
Colorado(9/29/2017)
RR
Florida(10/3/2017)
RR
Michigan(1/3/2022)
RR
New Mexico(8/25/2022)
RR
Oregon(11/22/2024)
IAR
Texas(9/29/2017)
RR
Utah(10/4/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BG
BRUCE G. ALLEN INVESTMENTS, LLC
BRUCE G. ALLEN INVESTMENTS, LLC
CRD#: 287859 / SEC#: 801-111789
RIA
Registered Investment Advisory firm - (9/29/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3200 E Cherry Creek South Drive Suite 640, Denver, CO 80209
Mailing Address
Phone number
(303) 592-5535
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 481 |
| AUM (Assets Under Management) | $ 219,011,494 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
