Craig D. Allen
Professional summary
Craig Douglas Allen, CFA, CFP®, CIMA® is a registered financial advisor currently at C.D. ALLEN WEALTH MANAGEMENT, LLC located in Santa Barbara, California.
Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Craig has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Craig Douglas Allen's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
June 4, 2004 - Present
C.D. ALLEN WEALTH MANAGEMENT, LLC
January 29, 2002 - March 1, 2004
WELLS FARGO INVESTMENTS, LLC
January 10, 2002 - March 1, 2004
WELLS FARGO INVESTMENTS, LLC
August 3, 1998 - September 24, 1998
FORTRESS FINANCIAL GROUP, LTD.
July 29, 1998 - November 29, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 24, 1998 - August 7, 1998
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
January 29, 1996 - February 24, 1998
ROTH CAPITAL PARTNERS, LLC
August 31, 1993 - February 8, 1996
SUTRO & CO. INCORPORATED
January 15, 1991 - September 23, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/4/2004)
Exams
Series 8
Date: 2/2/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
C.D. ALLEN WEALTH MANAGEMENT, LLC
CRD#: 131588 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 4,000,000 |
Red Flags
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