Gary K. Allen

PRUDENT INVESTOR ADVISORS

FOLSOM, CA 95630

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CRD#: 1821674

Professional summary

Gary Keith Allen is a registered financial advisor currently at PRUDENT INVESTOR ADVISORS, LLC located in Folsom, California.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Gary has worked at 5 firms and has passed the Series 65, Series 63, 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.

KNBR 680;55 HAWTHORNE ST. STE 1100 SAN FRAN CA;RADIO STATION; BUSINESS EDITOR;DAILY MARKET & BUS UPDATES;3 HRS PER WK;YES. WEEKLY TALK SHOW RADIO STATION KNBR 680; BOARD OF DIRECTORS-NON PROFIT-CROATION SCHOLARSHIP FUND.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Keith 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 18, 2004 - Present

PRUDENT INVESTOR ADVISORS, LLC

Office #1: 101 Parkshore Drive Suite 100, Folsom, CA 95630

RIA

CRD#: 121922

FOLSOM, CA

Past

April 17, 2002 - April 25, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

June 27, 2000 - March 7, 2002

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

December 16, 1998 - April 25, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

December 20, 1988 - December 2, 1998

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

PRUDENT INVESTOR ADVISORS, LLC

ELY, GUERDON TISDALE | PRUDENT RETIREMENT SERVICES | PRUDENT INVESTOR ADVISORS, LLC | PRUDENT INVESTOR ADVISORS

CRD#: 121922 / SEC#: 801-63481

RIA

Registered Investment Advisory firm - (9/15/2004 Approved)

California

Registered Investment Advisory firm - (9/30/2004 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/18/2004)

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: 6/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2000

General Securities Principal Examination

Current Firm

PRUDENT INVESTOR ADVISORS, LLC

ELY, GUERDON TISDALE | PRUDENT RETIREMENT SERVICES | PRUDENT INVESTOR ADVISORS, LLC | PRUDENT INVESTOR ADVISORS

CRD#: 121922 / SEC#: 801-63481

RIA

Registered Investment Advisory firm - (9/15/2004 Approved)

California

Registered Investment Advisory firm - (9/30/2004 Terminated)

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Contact information

Main Address

101 Parkshore Drive, Suite 100, Folsom, CA 95630

Mailing Address

Phone number

(866) 446-1848

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRUDENT INVESTOR ADVISORS PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 1,153,613,208

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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Gary K. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Keith Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SENTRA SECURITIES CORPORATION

1ST GLOBAL CAPITAL CORP.

RAYMOND JAMES FINANCIAL SERVICES, INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

PRUDENT INVESTOR ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/1999

Series 63

Date: 5/9/1998

Series 7

Date: 12/17/1988

Series 24

Date: 10/25/2000

Current Firm

PRUDENT INVESTOR ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRUDENT INVESTOR ADVISORS, LLC

TRUST BUT VERIFY

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