Lehman Duane Allen | Financial Professional

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.

Lehman Duane Allen, who also goes by L. Duane Allen, Duane Allen, was a registered financial professional .

Lehman is a previously registered financial professional and started their career in finance in 1994. Lehman had worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

L. Duane Allen | Duane 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.

L DUANE ALLEN - CPA FIRM, OWNER FOR TAX AND ACCOUNTING CLIENTS, GENERAL AGENT LIFE INSURANCE

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 18, 2021 - July 12, 2023

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

Lubbock, TX

Past

August 1, 2014 - December 26, 2019

FINANCIAL GRAVITY ASSET MANAGEMENT, INC.

RIA

CRD#: 144008

Lubbock, TX

Past

January 3, 2014 - August 4, 2015

PERSONAL LEGACY PLANNERS

RIA

CRD#: 153996

GRAND RAPIDS, MI

Past

March 24, 2010 - December 31, 2013

USA WEALTH MANAGEMENT LLC

RIA

CRD#: 122082

LUBBOCK, TX

Past

January 4, 2003 - April 24, 2007

CG CAPITAL MARKETS, LLC

BD

CRD#: 35513

BOCA RATON, FL

Past

November 16, 2000 - December 31, 2002

LEGACY FINANCIAL SERVICES, INC.

BD

CRD#: 38697

PETALUMA, CA

Past

June 23, 1997 - November 15, 2000

RUSHMORE SECURITIES CORPORATION

BD

CRD#: 8392

DALLAS, TX

Past

March 18, 1994 - November 11, 1997

1ST GLOBAL CAPITAL CORP.

BD

CRD#: 30349

DALLAS, TX

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".

WW

WEALTH WATCH ADVISORS, INC

CRD#: 172002 / SEC#: 801-96180

RIA

Registered Investment Advisory firm - (5/6/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/24/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 3/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 3/17/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WW

WEALTH WATCH ADVISORS, INC

CRD#: 172002 / SEC#: 801-96180

RIA

Registered Investment Advisory firm - (5/6/2015 Approved)

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Contact information

Main Address

S Valley Hwy 8310, Englewood, CO 80112

Mailing Address

Phone number

(855) 822-3708

Established

Firm type

Fiscal year end

# of Employees

54

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,556
AUM (Assets Under Management)	$ 473,650,570

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

Lehman D. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL GRAVITY ASSET MANAGEMENT, INC.

PERSONAL LEGACY PLANNERS

USA WEALTH MANAGEMENT LLC

CG CAPITAL MARKETS, LLC

LEGACY FINANCIAL SERVICES, INC.

RUSHMORE SECURITIES CORPORATION

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

WEALTH WATCH ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/2009

Series 63

Date: 3/17/1994

Series 6

Date: 3/17/1994

Current Firm

WEALTH WATCH ADVISORS, INC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH WATCH ADVISORS, INC

TRUST BUT VERIFY

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