RA
Robert J. Allen
Some features on this profile are disabled
CRD#: 4222994
RA
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.
Robert John Allen, who also goes by Bob Allen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob 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.
1) TRUSTEE FOR THE JC TESTAMENTARY TRUST POSITION: TRUSTEE NATURE: ACCOUNTING/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/15/2013 ADDRESS: , Lake Katrine NY 12449, United States DESCRIPTION: I RECEIVE COMPENSATION FOR THE PREPARATION OF THE TAX RETURN ONLY.; 2) COMPREHENSIVE SERVICES, LLC POSITION: OWNER NATURE: Financial Services INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/29/2008 DESCRIPTION: Financial Services Entity 3) SCHC REALTY 1 POSITION: PARTNER NATURE: REALTY INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: ADDRESS: , Lake Katrine NY , United States DESCRIPTION: Managing Partner 4) FRIENDS OF RAY MALONE POSITION: TREASURER NATURE: POLITICAL ORGANIZATION INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2013 ADDRESS: Saugerties NY 12477, United States DESCRIPTION: FILE REPORTS WITH THE BOARD OF ELECTIONS; HAVE CK-SIGNING; TREASURER FOR FUND FOR RAY MALONE ELECTION. 5) CATSKILL VALLEY MANAGEMENT CORP POSITION: PRESIDENT NATURE: MANAGEMENT SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: ADDRESS: , Lake Katrine NY , United States DESCRIPTION: MANAGEMENT SERVICES 6) ACCOUNTABLE SELF STORAGE INC POSITION: SHAREHOLDER NATURE: SELF STORAGE INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2001 ADDRESS: Hudson NY , United States DESCRIPTION: SHAREHOLDER; SELF SERVICE STORAGE CENTER 7) SAWYER SAVINGS BANK POSITION: MEMBER OF THE BOARD NATURE: BANKING INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2010 ADDRESS: Saugerties NY , United States DESCRIPTION: Board of Directors 8) 9W SELF STORAGE, INC POSITION: SECRETARY NATURE: SELF STORAGE INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2007 DESCRIPTION: SECRETARY; SELF SERVICE STORAGE CENTER 9) SCHC REALTY 2 POSITION: SHAREHOLDER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2005 ADDRESS: , Lake Katrine NY , United States DESCRIPTION: RENTAL REAL ESTATE 10) RS & MS IRREVOCABLE LIFE INSURANCE TRUST POSITION: TRUSTEE NATURE: LIFE INSURANCE TRUST INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/11/2008 DESCRIPTION: DUTIES AS INDICATED IN TERMS OF THE TRUST 11) R.S&M.S IRREVOCABLE LIFE INSURANCE TRUST POSITION: TRUSTEE NATURE: LIFE INSURANCE TRUST INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: Address: DESCRIPTION: TRUST 12) ROBERT J. ALLEN, CPA, P.C. POSITION: Shareholder NATURE: This is the CPA firm which employs and compensates me. I perform the duties of a CPA through this entity. INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 09/28/2022 ADDRESS: 2215 Route 9W, Lake Katrine NY 12449, United States DESCRIPTION: Through this firm I perform the duties of a CPA such as provision of Tax services, auditing services and consulting services. The firm bills for these services and compensates me as an employee and owner.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 6, 2021 - October 10, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lake Katrine, NY
Past
October 25, 2019 - October 10, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAKE KATRINE, NY
Past
November 8, 2000 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
LAKE KATRINE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
