Clinton S. Mcgarvin

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CRD#: 2924095

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.

Clinton Stuart Mcgarvin was a registered financial professional .

Clinton is a previously registered financial professional and started their career in finance in 1997. Clinton had worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

July 25, 2022 - March 26, 2025

ALLEN CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135147

VANCOUVER, WA

Past

August 4, 1997 - November 19, 1997

CRISPIN KOEHLER SECURITIES

CRD#: 10596

TAMPA, FL

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".

ALLEN CAPITAL MANAGEMENT, LLC

CRD#: 135147 / SEC#: 801-67018

RIA

Registered Investment Advisory firm - (7/17/2006 Approved)

Oregon

Registered Investment Advisory firm - (7/21/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 8/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/1/1997

General Securities Representative Examination

Current Firm

ALLEN CAPITAL MANAGEMENT, LLC

CRD#: 135147 / SEC#: 801-67018

RIA

Registered Investment Advisory firm - (7/17/2006 Approved)

Oregon

Registered Investment Advisory firm - (7/21/2006 Terminated)

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Contact information

Main Address

701 Columbia St, Ste 104, Vancouver, WA 98660

Mailing Address

Phone number

(503) 292-1041

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLEN CAPITAL MANAGEMENT ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	218
AUM (Assets Under Management)	$ 192,433,350

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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Firm Stability Insights

Clinton S. Mcgarvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLEN CAPITAL MANAGEMENT, LLC

CRISPIN KOEHLER SECURITIES

Primary Firm SEC Registration

ALLEN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/1997

Series 7

Date: 8/1/1997

Current Firm

ALLEN CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLEN CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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