Ernest W. Allen

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CRD#: 3001003

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.

Ernest W Allen JR, who also goes by Ernest Wilson Allen Jr, Ernie Allen, was a registered financial professional .

Ernest is a previously registered financial professional and started their career in finance in 1998. Ernest had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ernest Wilson Allen Jr | Ernie 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.

1. ELA Properties Address: Columbia, TN Nature of the Business: Rental Real Estate Position/Title: Proprietor/Owner Investment Related:Yes Start Date: 02/01/2017 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 0 Description of duties: Rent properties to tenets. 2 Columbia, TN City Council Address: Columbia, TN Nature of the Business: Political Office Position/Title: Political Office Investment Related:No Start Date: 12/18/2019 Hours per month devoted to this business: 5 Hours per month devoted to this business during trading hours: 1 Description of duties: Vote and preside over agenda items and review issues associated with the running of city government. City Council member for one year. 3. Southwestern Investment Advisory Services Address: Columbia, TN Nature of the Business: Independent RIA Position/Title: Advisor Investment Related:Yes Start Date: 09/14/2020 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 160 Description of duties: Financial Advisor 4. Southwestern Investment Group Address: Columbia, TN Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Advisor Investment Related:Yes Start Date: 09/14/2020 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 160 Description of duties: Financial Advisor

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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

August 28, 2019 - April 1, 2022

SAGESPRING WEALTH PARTNERS

RIA

CRD#: 283515

Columbia, TN

Past

January 2, 2009 - June 25, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

COLUMBIA, TN

Past

November 6, 2006 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

COLUMBIA, TN

Past

August 23, 2002 - March 16, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

COLUMBIA, TN

Past

May 28, 1998 - August 26, 2002

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

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".

SAGESPRING WEALTH PARTNERS

SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP

CRD#: 283515 / SEC#: 801-107971

RIA

Registered Investment Advisory firm - (7/6/2016 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 65

Date: 10/31/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/27/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/15/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SAGESPRING WEALTH PARTNERS

SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP

CRD#: 283515 / SEC#: 801-107971

RIA

Registered Investment Advisory firm - (7/6/2016 Approved)

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Contact information

Main Address

801 Crescent Centre Drive Suite 600, Franklin, TN 37067

Mailing Address

Phone number

(615) 861-6100

Established

Firm type

Fiscal year end

# of Employees

180

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGESPRING WEALTH PARTNERS - FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	10,811
AUM (Assets Under Management)	$ 6,485,071,326

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

Ernest W. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

SAGESPRING WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2006

Series 63

Date: 8/14/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/27/1998

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 6/15/1999

Current Firm

SAGESPRING WEALTH PARTNERS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGESPRING WEALTH PARTNERS

TRUST BUT VERIFY

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