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Donald W. Allen

Some features on this profile are disabled
CRD#: 2950935
DA

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.

Donald Wayne Allen, who also goes by Donald Wayne Peoples, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2001. Donald had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Wayne Peoples

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

September 16, 2016 - September 23, 2016

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

March 1, 2016 - September 23, 2016

SCOTTRADE, INC.

BD
CRD#: 8206
OKLAHOMA CITY, OK
Past

March 31, 2014 - October 17, 2014

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
LEWIS CENTER, OH
Past

January 16, 2014 - October 17, 2014

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
LEWIS CENTER, OH
Past

March 5, 2007 - November 16, 2012

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

August 22, 2006 - February 20, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SCHERTZ, TX
Past

July 28, 2005 - July 26, 2006

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
BOERNE, TX
Past

June 1, 2005 - July 26, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 29, 2004 - June 3, 2005

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

May 30, 2002 - May 13, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

June 29, 2001 - May 13, 2002

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

January 29, 2001 - March 2, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 29, 2001 - March 2, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/31/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/2001
General Securities Representative Examination

Current Firm

SI
SCOTTRADE INVESTMENT MANAGEMENT
SCOTTRADE INVESTMENT MANAGEMENT | SCOTTRADE INVESTMENT MANAGEMENT, INC.

CRD#: 169988 / SEC#: 801-79217

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Contact information

Main Address
700 Maryville Centre Drive, Saint Louis, MO 63141
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADVISOR ACCESS FROM SCOTTRADE INVESTMENT MANAGEMENT (1/2/2018)
GUIDANCE SOLUTIONS FROM SCOTTRADE INVESTMENT MANAGEMENT (12/6/2017)

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

SCOTTRADE INVESTMENT MANAGEMENT

CRD#: 169988

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