John R. Allen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Rockwell Allen, who also goes by J Rockwell Allen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2019 - February 12, 2021
WEALTHSPIRE ADVISORS
June 21, 2000 - March 29, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 29, 1999 - September 9, 2019
OSAIC FA, INC.
June 1, 1998 - September 9, 2019
OSAIC FA, INC.
October 16, 1970 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/13/1970
Registered Representative ExaminationCurrent Firm
WEALTHSPIRE ADVISORS
CRD#: 126665 / SEC#: 801-62078
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,794 |
| AUM (Assets Under Management) | $ 1,012,843,208 |
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.
