Michael D. Allen
KESTRA ADVISORY SERVICES
Melbourne, FL 32940
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CRD#: 3153161
Professional summary
Michael Douglas Allen, CFP®, who also goes by Mike Allen, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Melbourne, Florida and KESTRA INVESTMENT SERVICES, LLC located in Orlando, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike 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.
(dba) SECURITY FINANCIAL MANAGEMENT, INC.; INV REL; 2420 S Lakemont Avenue, Suite 120, Orlando, FL 32814; Financial Planning; Owner; 160 hours/month with all hours during trading hours; Financial planning where all securities related business is conducted through ProEquities. Insurance is conducted with various insurance companies. >> DOWN SYNDROME ASSOCIATION OF BREVARD; Non-INV REL; 1170 Grand Cayman Drive, Merritt Island, FL 32952; Charitable Organization; Committee Member - Finance; Start Date 06/2020; 1 hour or less per month with no hours occurring during trading hours; I am a non-board member that, along with the auditor, treasurer and director, oversees the finances of the organization. Name: SECURITY FINANCIAL MANAGEMENT POS: Financial Planner/Managing Partner NOB: Insurance INV REL: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2022 ADDRESS: 8245 Devereux Dr., Suite 103, Melbourne FL 32940 DESC: I create financial plans for my clients and recommend investments and insurance. Name: KESTRA ADVISORY SERVICES POS: Financial Advisor NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/28/2022 ADDRESS: 5707 southwest pkwy, BLDG 2, suite 400, Suite 103, Austin TX 78735 DESC: Financial planning and investment services Name: MICHAEL AND SUSAN ALLEN POS: Owner NOB: Real Estate INV REL: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 07/15/2022 ADDRESS: 3365 Erie Street, Cocoa FL 32926 DESC: Maintaining the property. Name: THE ALLEN FAMILY TRUST POS: Co-owner NOB: Real Estate INV REL: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/06/2023 ADDRESS: 2003 Carolyn Terrace, Valdosta GA 31602 DESC: property management and landlord Name: FANTA HORSE LLC POS: Manager NOB: Real Estate INV REL: Yes # OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 02/19/2024 ADDRESS: 3365 Erie Sreet, Cocoa FL 32926 DESC: We will all be working together in the renovation and short term rental of the property. Name: SECURITY FINANCIAL MANAGEMENT HOLDINGS, LLC POSITION: Partner/owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2024 ADDRESS: 1661 Sandspur Rd., Maitland FL 32751, United States DESCRIPTION: I am 23% owner and will be managing the property along with my partners Name: CRICKETY PINES OF COCOA, LLC POSITION: Sole Member NATURE: To hold the ownership of our horses INVESTMENT RELATED: No # OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 08/05/2025 ADDRESS: 3366 Erie Street, Cocoa FL 32926, United States DESCRIPTION: Ownership and care of horses. There will be some revenue and more expenses.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Douglas 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®
CFP®
Start date: 2003
Experience
Current
February 9, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 8245 Devereux Drive Suite 103, Melbourne, FL 32940Office #3: 2420 S. Lakemont Ave Suite 120, Orlando, FL 32814Office #4: 320 High Tide Drive Unit 201b, St. Augustine, FL 32080Office #5: 1950 Ringling Blvd Suite 403, Sarasota, FL 34236RIA
CRD#: 283330
Melbourne, FL
Current
January 31, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2420 S. Lakemont Ave Suite 120, Orlando, FL 32814Office #2: 8245 Devereux Drive Suite 103, Melbourne, FL 32940Office #3: 320 High Tide Drive Unit 201b, St. Augustine, FL 32080Office #4: 1950 Ringling Blvd Suite 403, Sarasota, FL 34236BD
CRD#: 42046
Orlando, FL
Past
July 29, 1999 - February 25, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ORLANDO, FL
Past
July 23, 1999 - February 25, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ORLANDO, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/31/2022)
RR
Colorado(1/31/2022)
RR
Connecticut(8/29/2023)
RR
Delaware(10/8/2025)
RR
Florida(1/31/2022)
IAR
Florida(2/9/2022)
RR
Georgia(3/7/2022)
RR
Illinois(11/1/2023)
RR
Maryland(1/31/2022)
RR
Michigan(7/27/2023)
RR
Missouri(1/31/2022)
RR
Nevada(1/31/2022)
RR
New Mexico(2/11/2025)
RR
New York(1/31/2022)
RR
North Carolina(2/25/2022)
RR
Pennsylvania(1/31/2022)
RR
South Carolina(2/11/2022)
RR
Tennessee(1/31/2022)
RR
Utah(10/28/2022)
RR
Virginia(1/31/2022)
RR
West Virginia(4/12/2022)
RR
Wisconsin(1/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
