Allen L. Abbott

FACTS WEALTH & FIDUCIARY ADVISORS

BOTHELL, WA

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CRD#: 2538997

Professional summary

Allen Leo Abbott JR is a registered financial advisor currently at FACTS WEALTH & FIDUCIARY ADVISORS located in Bothell, Washington.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Allen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

Name of other business: Abbott Planning Enterprise LLC (APE, LLC); NOT investment-related; Address: Bothell, WA; Nature of other business: Advisory fees paid to F.A.C.T.S. Wealth & Fiduciary Advisors, LLC will be paid to Abbott Planning Enterprise LLC (APE, LLC) and IARs of the firm will be paid from Abbott Planning Enterprises LLC (APE, LLC).; Position: CEO & Owner; Start Date: December 2022; Approx. # of hours/month devoted: 2; # of hours devoted during trading hours: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Leo Abbott JR'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®

None

Experience

Current

September 4, 2024 - Present

FACTS WEALTH & FIDUCIARY ADVISORS

RIA

CRD#: 330739

BOTHELL, WA

Past

November 16, 2022 - December 7, 2023

ROBINSWOOD FINANCIAL

RIA

CRD#: 143417

KIRKLAND, WA

Past

November 19, 2020 - November 14, 2022

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BELLEVUE, WA

Past

November 19, 2020 - November 14, 2022

OSAIC WEALTH, INC.

CRD#: 23131

BELLEVUE, WA

Past

September 27, 2019 - November 19, 2020

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

BELLEVUE, WA

Past

May 14, 2019 - November 19, 2020

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BELLEVUE, WA

Past

November 27, 2018 - May 29, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

KIRKLAND, WA

Past

November 27, 2018 - May 29, 2019

LPL FINANCIAL LLC

CRD#: 6413

KIRKLAND, WA

Past

November 30, 1994 - December 31, 1995

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Texas
(1/13/2025)

IAR

Washington
(9/4/2024)

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 66

Date: 10/22/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FACTS WEALTH & FIDUCIARY ADVISORS

F.A.C.T.S. W&FA | FACTS WEALTH & FIDUCIARY ADVISORS | FACTS W&FA | F.A.C.T.S. WEALTH & FIDUCIARY ADVISORS, LLC | F.A.C.T.S. WEALTH & FIDUCIARY ADVISORS

CRD#: 330739 / SEC#:

Texas

Registered Investment Advisory firm - (1/13/2025 Conditional Restricted)

Washington

Registered Investment Advisory firm - (9/4/2024 Approved)

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Contact information

Main Address

Bothell, WA

Mailing Address

Phone number

(425) 444-6100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 316,744

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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Allen L. Abbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Leo Abbott JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBINSWOOD FINANCIAL

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2018

Series 63

Date: 12/2/1994

SIE

Date: 11/28/2018

Series 7

Date: 11/27/2018

Series 6

Date: 11/29/1994

Current Firm

FACTS WEALTH & FIDUCIARY ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FACTS WEALTH & FIDUCIARY ADVISORS

TRUST BUT VERIFY

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