WA
William S. Allen
SENTARA CAPITAL
Marietta, GA 30062
Some features on this profile are disabled
CRD#: 3103398
WA
Professional summary
William Samuel Allen, who also goes by Will Allen, is a registered financial advisor currently at SENTARA CAPITAL located in Marietta, Georgia.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. William has worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Will 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) 2008-PRESENT/INDEPENDENT INSURANCE AGENT/MARIETTA, GA/INVESTMENT (INSURANCE)
RELATED/INSURANCE AGENT/INSURANCE SALES AND SERVICE VIA UNAFFILIATED ISSUERS AND AGENCIES/MAY INVOLVE FIVE PERCENT OF TIME PER MONTH, INCLUDING DURING MARKET HOURS.//
(2) 2007-PRESENT/WS ALLEN AND COMPANY, INC./MARIETTA, GA/OWNER/BUSINESS USED FOR PURPOSE OF OFFICE LEASING, ETC./NOT INVESTMENT RELATED/MAY INVOLVE UP TO FIVE PERCENT OF TIME PER MONTH DURING BUSINESS HOURS.//
(3) 2009-PRESENT/FOUNDATION FOR PERSONAL FINANCIAL EDUCATION/MARIETTA GA/NON PROFIT FINANCIAL EDUCATION/NOT INVESTMENT RELATED/APPROXIMATELY 10% OF TIME PER MONTH, INCLUDING DURING MARKET HOURS.//
CRS (Client Relationship Summary) - RIA
Click below to view William Samuel 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®
NoneExperience
Current
May 8, 2012 - Present
SENTARA CAPITAL
Office #1: 3225 Shallowford Road Ne Suite 900, Marietta, GA 30062RIA
CRD#: 161132
Marietta, GA
Past
February 5, 2008 - December 31, 2012
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
RIA
CRD#: 143384
MARIETTA, GA
Past
February 5, 2008 - February 21, 2013
RESOURCE HORIZONS GROUP LLC
BD
CRD#: 104368
MARIETTA, GA
Past
July 20, 2007 - February 8, 2008
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
MARIETTA, GA
Past
July 9, 2007 - February 6, 2008
OSAIC FS, INC.
RIA
CRD#: 3870
MARIETTA, GA
Past
May 15, 2007 - February 6, 2008
OSAIC FS, INC.
BD
CRD#: 3870
MARIETTA, GA
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".
SC
SENTARA CAPITAL
MAGELLAN CAPITAL MANAGEMENT | SENTARA INVESTORS | SENTARA FINANCIAL PLANNING | SENTARA CAPITAL, LLC | SENTARA CAPITAL LLC | SENTARA CAPITAL | MAGELLAN CAPITAL MANAGEMENT, LLC
CRD#: 161132 / SEC#: 801-119758
RIA
Registered Investment Advisory firm - (11/9/2020 Approved)Alabama
Registered Investment Advisory firm - (11/11/2020 Terminated)Arizona
Registered Investment Advisory firm - (12/11/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/12/2020 Terminated)North Dakota
Registered Investment Advisory firm - (2/9/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/17/2020 Terminated)Texas
Registered Investment Advisory firm - (11/11/2020 Terminated)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
Georgia(5/8/2012)
IAR
Tennessee(7/6/2012)
IAR
Texas(7/5/2012)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
SC
SENTARA CAPITAL
MAGELLAN CAPITAL MANAGEMENT | SENTARA INVESTORS | SENTARA FINANCIAL PLANNING | SENTARA CAPITAL, LLC | SENTARA CAPITAL LLC | SENTARA CAPITAL | MAGELLAN CAPITAL MANAGEMENT, LLC
CRD#: 161132 / SEC#: 801-119758
RIA
Registered Investment Advisory firm - (11/9/2020 Approved)Alabama
Registered Investment Advisory firm - (11/11/2020 Terminated)Arizona
Registered Investment Advisory firm - (12/11/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/12/2020 Terminated)North Dakota
Registered Investment Advisory firm - (2/9/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/17/2020 Terminated)Texas
Registered Investment Advisory firm - (11/11/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3225 Shallowford Road Ne Suite 900, Marietta, GA 30062
Mailing Address
Phone number
(770) 509-5305
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 442 |
| AUM (Assets Under Management) | $ 102,775,422 |
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.
