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MA

Michael A. Allen

ALLEN FINANCIAL ADVISEMENT
LA JOLLA, CA 92037
Some features on this profile are disabled
CRD#: 3277582
MA

Professional summary

Michael Anthony Allen is a registered financial advisor currently at ALLEN FINANCIAL ADVISEMENT, INC. located in La Jolla, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
1) MICHAEL ALLEN; INV REL: YES; ADDRESS: 4275 EXECUTIVE SQUARE #400, LA JOLLA CA 92037; NATURE: IND LIFE, DI; POSITION: SALES/AGENT; START DATE: 01/2003; NUMBER HR/MO: 4; NUMBER HR/MO DURING SEC TRADING: 4. 2) NATIONAL UNIVERSITY; INV REL: NO; ADDRESS: 11255 NORTH TORREY PINES ROAD, LA JOLLA CA 92121; NATURE: TEACH CLASSES IN BUSINESS AND FINANCE; START DATE: 7/2008; NUMBER HR/MO: 20; NUMBER HR/MO DURING SEC TRADING: 0. 3) LA JOLLA PIA; INV REL: YES; ADDRESS: 4275 EXECUTIVE SQUARE #400, LA JOLLA CA 92037; NATURE: P&C INSURANCE; POSITION: REFER BUSINESS; START DATE: 1/2003; NUMBER HR/MO: 0; NUMBER HR/MO DURING SEC TRADING: 0. 4) MUNOZ FAMILY SCHOLARSHIP; POSITION: Founder NATURE: Offer scholarships to graduating high school seniors attending college INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016; ADDRESS: 4275 Executive square, Suite 200, La Jolla CA 92037, United States; DESCRIPTION: Help start the scholarship and advise accordingly regarding bylaws 5) TRUSTEEFRIEND; INV REL: YES; ADDRESS: 3556 S 5600 W, #1-960, SALT LAKE CITY, UT 84120; NATURE: REFERRALS FOR ESTATE PLANNING; POSITION: REFERER; START DATE: 7/2008; NUMBER HR/MO: 2; NUMBER HR/MO DURING SEC TRADING: 2

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony 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®
None

Experience

Current

August 27, 2025 - Present

ALLEN FINANCIAL ADVISEMENT, INC.

Office #1: 4275 Executive Square, Suite 200, La Jolla, CA 92037
RIA
CRD#: 337542
LA JOLLA, CA
Past

March 13, 2023 - August 19, 2025

SB ADVISORY, LLC

RIA
CRD#: 154680
La Jolla, CA
Past

January 4, 2022 - August 19, 2025

SAN BLAS SECURITIES LLC

BD
CRD#: 290605
CHICAGO, IL
Past

January 2, 2014 - December 22, 2021

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
LA JOLLA, CA
Past

January 2, 2014 - December 22, 2021

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
LA JOLLA, CA
Past

February 17, 2004 - December 6, 2013

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
LA JOLLA, CA
Past

February 13, 2003 - December 6, 2013

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LA JOLLA, CA
Past

April 10, 2000 - January 14, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

October 5, 1999 - March 9, 2000

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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
California
(8/27/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/13/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALLEN FINANCIAL ADVISEMENT, INC.
ALLEN FINANCIAL ADVISEMENT, INC.

CRD#: 337542 / SEC#:

California
Registered Investment Advisory firm - (8/27/2025 Approved)
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Contact information

Main Address
4275 Executive Square, Suite 200, La Jolla, CA 92037
Mailing Address
Phone number
(858) 964-2309
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

ALLEN FINANCIAL ADVISEMENT, INC.

CRD#: 337542La Jolla, CA 92037

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