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JA

Joe R. Allen

LIFE BALANCE FINANCIAL
Houston, TX 77043
Some features on this profile are disabled
CRD#: 2905269
JA

Professional summary

Joe Riley Allen is a registered financial advisor currently at LIFE BALANCE FINANCIAL located in Houston, Texas.

Joe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Joe has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

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.
1.Insurance Agent Will sell outside Start: 08/10/1997 5 bus hrs per month Investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Riley 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®
None

Experience

Current

November 8, 2018 - Present

LIFE BALANCE FINANCIAL

Office #1: 1334 Brittmoore Rd. Suite 1000 B, Houston, TX 77043
RIA
CRD#: 291718
Houston, TX
Past

July 5, 2013 - November 7, 2018

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
HOUSTON, TX
Past

February 28, 2006 - November 7, 2018

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
HOUSTON, TX
Past

November 21, 1997 - February 21, 2006

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

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
(11/8/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/6/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/20/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LB
LIFE BALANCE FINANCIAL
FINANCIAL LIFE BALANCE LLC | LIFE BALANCE FINANCIAL

CRD#: 291718 / SEC#:

Texas
Registered Investment Advisory firm - (2/20/2018 Approved)
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Contact information

Main Address
1334 Brittmoore Rd. Suite 1000 B, Houston, TX 77043
Mailing Address
Phone number
(281) 794-0969
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

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.

Company Information

LIFE BALANCE FINANCIAL

CRD#: 291718Houston, TX 77043

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