Allen R. Mellow

KTF INVESTMENTS | Senior Vice President–Wealth Management

SEAL BEACH, CA 90740

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CRD#: 331642

Professional summary

Allen Roy Mellow is a registered financial advisor currently at KTF INVESTMENTS, LLC located in Seal Beach, California.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Allen has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 000, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.

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.

LAZAROFF / IRA ACCOUNT. I AM EXECUTOR OF ESTATE. NOT FA OF RECORD ON ACCOUNT / EXECUTOR / CLIENT OF UBS / START DATE 06/01/2009.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Roy Mellow'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

August 29, 2025 - Present

KTF INVESTMENTS, LLC

Office #1: 13001 Seal Beach Boulevard # 250, Seal Beach, CA 90740

RIA

CRD#: 337465

SEAL BEACH, CA

Past

February 8, 1985 - September 8, 2025

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEAL BEACH, CA

Past

January 9, 1984 - September 8, 2025

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SEAL BEACH, CA

Past

February 2, 1981 - January 23, 1984

WEDBUSH SECURITIES INC.

CRD#: 877

Past

February 24, 1978 - March 2, 1981

MORGAN STANLEY DW INC.

CRD#: 7556

Past

December 8, 1967 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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
(8/29/2025)

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.

NYSE Branch Manager Examination

Current Firm

KTF INVESTMENTS, LLC

CRD#: 337465 / SEC#: 801-134137

RIA

Registered Investment Advisory firm - (8/8/2025 120-Day Approval)

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Contact information

Main Address

13001 Seal Beach Boulevard # 250, Seal Beach, CA 90740

Mailing Address

Phone number

(513) 618-4498

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KTF INVESTMENTS FORM ADV PART 2A, APPENDIX 1 WRAP FEE BROCHURE (AUGUST 2025) (8/28/2025)

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Allen R. Mellow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Roy Mellow's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WEDBUSH SECURITIES INC.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 6/5/1984

Series 000

Date: 12/4/1967

Series 1

Date: 12/4/1967

Series 53

Date: 12/7/1999

Series 24

Date: 8/27/1982

Series 4

Date: 3/12/1982

Series 12

Date: 5/22/1981

Current Firm

KTF INVESTMENTS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

KTF INVESTMENTS, LLC

TRUST BUT VERIFY

Contact information

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