Kim G. Allen

AMERITAS ADVISORY SERVICES

Watertown, NY 13601

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CRD#: 1660033

Professional summary

Kim Gerald Allen, who also goes by Kim G Allen, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Watertown, New York and AMERITAS INVESTMENT COMPANY, LLC located in Watertown, New York.

Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kim has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kim G 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.

LICENSED AS AN INDEPENDENT INSURANCE AGENT TO SELL FIXED INSURANCE PRODUCTS * UNITED PROFESSIONAL ADVISORS LLC; SAME AS BRANCH; INV REL; FINANCIAL PLANNING; PARTNER; START DATE=01/2010; HRS/MO=20; TRADING HRS/MO=20; FINANCIAL PLANNING FOR CLIENTS * UNITED WEALTH ADVISOR GROUP; SAME AS BRANCH; INV REL; GENERAL AGENCY FOR LIFE INSURANCE AND INVESTMENTS; CHIEF OPERATIONS OFFICER; START DATE=10/2013; HRS/MO=20; TRADING HRS/MO=20; ACTING AS CHIEF OPERATION OFFICER, RUNNING DAY-TO-DAY OPERATIONS * The AFP Group; 602 Sawyer St, Houston TX 77007; inv rel; wholly owned subsidiary of UWAG, LLC; Owner; start date=07/2021; hrs/mo=5; trading hrs/mo=5; insurance and financial planning firm that was purchased by UWAG, LLC * United Professional Benefits; same as residence; non-inv rel; providing health benefits; Owner; start date=03/2022; hrs/mo=40; trading hrs/mo=40; owner-providing health benefits

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kim Gerald Allen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 1, 2021 - Present

AMERITAS ADVISORY SERVICES, LLC

Office #1: 19607 Nys Route 3, Watertown, NY 13601

RIA

CRD#: 317245

Watertown, NY

Current

June 30, 2006 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 19607 Nys Route 3, Watertown, NY 13601

CRD#: 14869

Watertown, NY

Past

June 9, 2021 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

January 16, 2004 - June 30, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

NEW YORK, NY

Past

February 6, 2003 - December 31, 2003

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

July 1, 2002 - January 31, 2003

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

March 19, 1997 - June 17, 2002

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

May 23, 1996 - March 14, 1997

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

June 8, 1987 - December 7, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 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.

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

California
(9/20/2017)

Florida
(1/8/2009)

New Jersey
(10/11/2007)

New York
(6/30/2006)

IAR

New York
(11/1/2021)

North Carolina
(1/4/2012)

Ohio
(11/17/2014)

Pennsylvania
(6/30/2006)

South Carolina
(1/12/2012)

Texas
(9/10/2007)

IAR

Texas
(8/15/2023)

Virginia
(1/8/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/4/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/15/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

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Contact information

Main Address

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	Cover Page	Report

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

Kim G. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kim Gerald Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

CARILLON INVESTMENTS, INC.

CADARET, GRANT & CO., INC.

THE INVESTMENT CENTER, INC.

CARILLON INVESTMENTS, INC.

PRINCIPAL SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2005

Series 63

Date: 7/15/1987

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2005

Series 6

Date: 6/4/1987

Series 26

Date: 2/15/2005

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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