Joseph M. Allen

STRATEGIC ADVISERS LLC | Financial Consultant

SEATTLE, WA

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CRD#: 2827240

Professional summary

Joseph Montgomery Allen, who also goes by Joey Allen, Joseph M Allen, Joseph Montgomery Allen, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Seattle, Washington and FIDELITY BROKERAGE SERVICES LLC located in Tukwila, Washington.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 11 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Biography

We offer you access to the investing insights, as well as a dedicated, personal relationship with you and your family to help you pursue your goals.  We will work to help you stay on track through our on-going, detailed planning process, regardless of what the markets are doing

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joey Allen | Joseph M Allen | Joseph Montgomery 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) - RIA

Click below to view Joseph Montgomery Allen's CRS (Customer Relationship Summary).

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

Education

University of Pennsylvania

History & Sociology of Science - Bachelor of Arts

1997

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 304 Strander Blvd, Tukwila, WA 98188-2939

RIA

CRD#: 104555

SEATTLE, WA

Current

June 28, 2019 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 304 Strander Blvd., Tukwila, WA 98188

CRD#: 7784

Tukwila, WA

Past

July 2, 2019 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

TUKWILA, WA

Past

January 16, 2019 - May 30, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7556

SEATTLE, WA

Past

April 13, 1999 - January 18, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, 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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

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

Alaska
(10/4/2023)

Arizona
(6/28/2019)

California
(6/28/2019)

Colorado
(4/17/2024)

Florida
(1/6/2020)

Idaho
(6/28/2019)

Missouri
(1/6/2020)

Montana
(5/25/2023)

New Hampshire
(9/12/2022)

North Carolina
(4/29/2020)

Oregon
(7/1/2019)

Pennsylvania
(4/17/2024)

Texas
(6/29/2019)

IAR

Texas
(3/31/2025)

Utah
(4/17/2024)

Washington
(6/28/2019)

IAR

Washington
(3/31/2025)

Wisconsin
(1/9/2024)

Wyoming
(3/28/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/4/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/12/1999

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Joseph M. Allen

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Montgomery Allen's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Pennsylvania

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2007

SIE

Date: 10/1/2018

Series 31

Date: 2/4/2008

Series 7

Date: 4/12/1999

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

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