Stuart B. Allen

ALLEN CAPITAL MANAGEMENT

VANCOUVER, WA 98660

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CRD#: 3014735

Professional summary

Stuart Bradley Allen is a registered financial advisor currently at ALLEN CAPITAL MANAGEMENT, LLC located in Vancouver, Washington.

Stuart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Stuart has worked at 2 firms and has passed the Series 7 exam.

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.

PRINCIPAL OF ALLEN TRUST CO., 121 SW MORRISON, SUITE 875, PORTLAND, OREGON 97204. THIS IS AN INVESTMENT RELATED BUSINESS. I STARTED IN 1998 AND WORK 40 HOURS PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Bradley 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

Experience

Current

June 8, 2005 - Present

ALLEN CAPITAL MANAGEMENT, LLC

Office #1: 701 Columbia St, Ste 104, Vancouver, WA 98660

RIA

CRD#: 135147

VANCOUVER, WA

Past

March 11, 1998 - June 12, 1998

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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.

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

Oregon
(6/8/2005)

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

General Industry/Product Exam

Series 7

Date: 3/10/1998

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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Stuart B. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Bradley Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEN CAPITAL MANAGEMENT, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

ALLEN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 3/10/1998

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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