Douglas K. Vanallen
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.
Douglas Kent Vanallen was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1990. Douglas had worked at 5 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2013 - November 29, 2016
TPG FINANCIAL ADVISORS, LLC
March 2, 2006 - August 2, 2016
GENEOS WEALTH MANAGEMENT, INC.
February 15, 2006 - August 2, 2016
GENEOS WEALTH MANAGEMENT, INC.
September 25, 2001 - March 2, 2006
CETERA ADVISORS LLC
April 4, 1994 - March 2, 2006
CETERA ADVISORS LLC
June 21, 1990 - April 7, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 1990 - July 10, 1996
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
TPG FINANCIAL ADVISORS, LLC
CRD#: 141153 / SEC#: 801-77417
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
TPG FINANCIAL ADVISORS, LLC
CRD#: 141153 / SEC#: 801-77417
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,587 |
| AUM (Assets Under Management) | $ 1,964,622,586 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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