Samuel A. Allen
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.
Samuel Alphonse Allen JR, who also goes by Jr Samuel Alphonse Allen, Sam Allen, Samuel Alphonse Allen, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1987. Samuel had worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2015 - June 26, 2017
STRATEGIC ADVISERS LLC
November 24, 2014 - June 26, 2017
FIDELITY BROKERAGE SERVICES LLC
February 21, 2007 - January 14, 2009
EDWARD JONES
October 31, 2002 - January 14, 2009
EDWARD JONES
February 28, 2000 - December 3, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 5, 1994 - February 29, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1988 - July 13, 1994
MORGAN STANLEY DW INC.
February 23, 1987 - January 12, 1988
WADDELL & REED
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
