Charles E. Allen

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CRD#: 1553675

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.

Charles Edgar Allen III, who also goes by Charles Edgar Allen, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Edgar 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.

The advisor shows no other business activity.

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

May 15, 2019 - December 2, 2019

ADG WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 132341

METAIRIE, LA

Past

July 30, 2012 - January 3, 2018

TRIAD ADVISORS LLC

RIA

CRD#: 25803

METAIRIE, LA

Past

July 12, 2010 - December 31, 2010

INGLESIDE FINANCIAL ADVISORS, LLC

RIA

CRD#: 132765

METAIRIE, LA

Past

January 6, 2005 - January 31, 2005

TRIAD ADVISORS LLC

RIA

CRD#: 25803

METAIRIE, LA

Past

January 3, 2005 - January 3, 2018

TRIAD ADVISORS LLC

CRD#: 25803

METAIRIE, LA

Past

October 1, 2003 - February 10, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 1, 2002 - September 22, 2003

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

METAIRIE, LA

Past

October 24, 1986 - September 4, 2003

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

ADG WEALTH MANAGEMENT GROUP, LLC

CRD#: 132341 / SEC#: 801-81006

RIA

Registered Investment Advisory firm - (2/25/2015 Approved)

Louisiana

Registered Investment Advisory firm - (3/2/2015 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

IAR

Series 65

Date: 10/28/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 7/17/1998

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 10/20/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/16/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADG WEALTH MANAGEMENT GROUP, LLC

CRD#: 132341 / SEC#: 801-81006

RIA

Registered Investment Advisory firm - (2/25/2015 Approved)

Louisiana

Registered Investment Advisory firm - (3/2/2015 Terminated)

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Contact information

Main Address

433 Metairie Road, Suite 500, Metairie, LA 70005

Mailing Address

Phone number

(504) 267-9880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (8/15/2025)

Regulatory assets under management

Total Number of Accounts	1,235
AUM (Assets Under Management)	$ 309,647,951

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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Advisor Monitoring

Firm Stability Insights

Charles E. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

INGLESIDE FINANCIAL ADVISORS, LLC

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

WALNUT STREET SECURITIES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ADG WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2003

Series 63

Date: 3/4/1998

SIE

Date: 1/3/2018

Series 62

Date: 7/17/1998

Series 22

Date: 10/20/1986

Series 6

Date: 10/16/1986

Current Firm

ADG WEALTH MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADG WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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