Judd F. 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.
Judd Fosta Allen, who also goes by Judd F Allen, was a registered financial professional .
Judd is a previously registered financial professional and started their career in finance in 1973. Judd had worked at 3 firms and has passed the Series 66, Series 63, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2005 - January 9, 2018
ALLEN WEALTH MANAGEMENT, LLC
September 1, 2000 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 19, 1973 - September 18, 2000
EDWARD JONES
Primary Firm SEC Registration
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038 / SEC#: 801-64431
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
PC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 11/10/1973
Registered Representative ExaminationCurrent Firm
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038 / SEC#: 801-64431
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,589 |
| AUM (Assets Under Management) | $ 553,948,253 |
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.
