David W. Allen

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CRD#: 2733379

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.

David Wilford Allen JR, who also goes by David Wilford Allen, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2006. David had worked at 4 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Wilford 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.

The advisor shows no other business activity.

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

February 14, 2017 - July 28, 2017

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

RIA

CRD#: 105820

NEW YORK, NY

Past

December 5, 2014 - October 3, 2023

SCHRODER FUND ADVISORS LLC

CRD#: 24129

NEW YORK, NY

Past

August 6, 2007 - January 30, 2013

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN FRANCISCO, CA

Past

March 10, 2006 - January 30, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN FRANCISCO, CA

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".

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

CRD#: 105820 / SEC#: 801-15834

RIA

Registered Investment Advisory firm - (12/31/1980 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 66

Date: 8/3/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/27/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/10/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/13/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 3/17/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/9/2006

General Securities Representative Examination

Current Firm

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

CRD#: 105820 / SEC#: 801-15834

RIA

Registered Investment Advisory firm - (12/31/1980 Approved)

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Contact information

Main Address

7 Bryant Park 19th Floor, New York, NY, 10018

Mailing Address

Phone number

(212) 641-3800

Established

Firm type

Fiscal year end

# of Employees

299

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMNA INC MARCH 2025 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	361
AUM (Assets Under Management)	$ 138,624,838,407

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

David W. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCHRODER FUND ADVISORS LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2007

Series 63

Date: 3/27/2006

Series 65

Date: 4/10/1999

SIE

Date: 10/1/2018

Series 3

Date: 11/13/2017

Series 31

Date: 3/17/2006

Series 7

Date: 3/9/2006

Current Firm

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

TRUST BUT VERIFY

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