HA
Herbert F. Allen
PACKERLAND BROKERAGE SERVICES
Rockford , IL 61108
Some features on this profile are disabled
CRD#: 2168057
HA
Professional summary
Herbert Frederick Allen III, who also goes by Herbert F Allen III, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Rockford , Illinois.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Herbert has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herbert F Allen Iii
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.
1)ILLINOIS SONS OF THE AMERICA REVOLUTION, IS NOT INVESTMENT RELATED, 4983 BROOKVIEW RD ROCKFORD IL 61107, ILLINOIS DIRECTOR OF YOUTH EDUCATION, START DATE 10/15/2024 END DATE 10/31/2026, 8 HRS PER MONTH, 0 HRS DURING TRADING HRS, SUPPORT THE EDUCATION OF ILLINOIS YOUTH IN THE AREA OF US CONSTITUTION, COLONIAL HISTORY AND PATRIOTIC PRACTICE
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Frederick Allen III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Herbert Frederick Allen III's 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®
NoneExperience
Current
September 3, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 7210 East State Street , Rockford , IL 61108RIA
BD
CRD#: 37031
Rockford , IL
Current
September 2, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 7210 East State Street , Rockford , IL 61108RIA
BD
CRD#: 37031
Rockford , IL
Past
September 9, 2019 - December 31, 2024
HARBOUR INVESTMENTS, INC.
RIA
CRD#: 19258
ROCKFORD, IL
Past
August 19, 2019 - December 31, 2024
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
ROCKFORD, IL
Past
January 23, 2012 - August 26, 2019
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ROCKFORD, IL
Past
January 23, 2012 - August 26, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ROCKFORD, IL
Past
March 15, 2011 - February 15, 2012
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
TAMPA, FL
Past
March 14, 2011 - February 15, 2012
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
ROCKFORD, IL
Past
May 26, 2006 - March 15, 2011
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ROCKFORD, IL
Past
May 26, 2006 - March 15, 2011
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ROCKFORD, IL
Past
September 1, 2004 - June 19, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ROCKFORD, IL
Past
September 1, 2004 - June 19, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ROCKFORD, IL
Past
March 1, 2004 - September 21, 2004
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
ROCKFORD, IL
Past
January 1, 2004 - September 21, 2004
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 5, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
February 28, 2001 - January 11, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 28, 2001 - January 11, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
August 10, 1998 - March 8, 2001
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
June 30, 1994 - August 18, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 3, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 3, 1991 - June 10, 1994
PRUCO SECURITIES, LLC.
BD
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Colorado(9/3/2025)
RR
Florida(9/3/2025)
RR
Illinois(9/3/2025)
IAR
Illinois(9/3/2025)
RR
Kentucky(9/4/2025)
RR
Minnesota(9/4/2025)
RR
Mississippi(9/5/2025)
RR
Missouri(9/15/2025)
RR
South Carolina(9/8/2025)
RR
Tennessee(9/4/2025)
RR
Wisconsin(9/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
Company Information
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031Rockford , IL 61108TRUST BUT VERIFY
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