CA
Charles W. Allen
KESTRA ADVISORY SERVICES
Orlando, FL 32814
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CRD#: 2643102
CA
Professional summary
Charles Winfield Allen, who also goes by Charlie Allen, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Orlando, Florida and KESTRA INVESTMENT SERVICES, LLC located in Orlando, Florida.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie 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.
(dba) SECURITY FINANCIAL MANAGEMENT; Investment related; 8245 Devereaux Drive, Suite 103, Melbourne, FL 32940; Financial Services; Director of Recruiting/Designated Principal; Start Date 03/2016; 160 hours per month with most hours occurring during trading hours; Recruiting and Supervisory specific duties are focused on recruiting new and existing advisors within the OSJ as well as conducting supervisory functions.//PALM JUNGLE; Non-investment related; Indialantic, FL; Property Rental; Owner/landlord, Start Date 01/1992; 2 hours per month with no hours per month during trading hours; The property we own and on which my family resides has a total of 3 units. My family resides in 1 and we lease the other 2.//T.M.C. AGENCIES, INC.; Investment related; 2315 Curry Ford Road, Orlando FL 32806; Insurance Product Sales & Service; 1099 Producer; Start Date 08/2018; 3 hours per month with 2 hours per month during trading hours; Insurance products sales & service. Business Name: KESTRA ADVISORY SERVICES POSITION: Director of Recruitment & Advisor Support NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400,, Ausitn TX 78735 DESCRIPTION: Recruiting & advisor support Business Name: SECURITY FINANCIAL MANAGEMENT, INC POSITION: Director of Recruitment & Advisor Support NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2022 ADDRESS: 8245 Devereux Drive, Ste. 103, Melbourne FL 32940 DESCRIPTION: Recruiting & advisor support Business Name: PALM JUNGLE POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: 101 Ocean Terrace, Unit A, Indialantic FL 32903 DESCRIPTION: Owner & property manager
CRS (Client Relationship Summary) - RIA
Click below to view Charles Winfield Allen'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
February 3, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2420 S. Lakemont Ave Suite 120, Orlando, FL 32814Office #2: 8245 Devereux Drive Suite 103, Melbourne, FL 32940RIA
CRD#: 283330
Orlando, FL
Current
January 31, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2420 S. Lakemont Ave Suite 120, Orlando, FL 32814Office #2: 8245 Devereux Drive Suite 103, Melbourne, FL 32940BD
CRD#: 42046
Orlando, FL
Past
July 15, 2016 - February 14, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
MELBOURNE, FL
Past
February 18, 2016 - February 14, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
MELBOURNE, FL
Past
May 3, 1999 - May 1, 2001
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
September 13, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
Florida(1/31/2022)
IAR
Florida(2/3/2022)
Exams
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
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
