Glen R. Allen

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CRD#: 4293316

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.

Glen Richard Allen, CFP®, who also goes by Glen R Allen, was a registered financial professional .

Glen is a previously registered financial professional and started their career in finance in 2000. Glen had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Aliases

Glen R 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.

Mr. Allen is a licensed insurance professional.

Blog Corner

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®

CFP^®

Certified Financial Planner

Experience

Past

February 11, 2020 - July 2, 2026

DEL-SETTE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 159052

SCHENECTADY, NY

Past

January 11, 2016 - December 2, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Albany, NY

Past

May 29, 2015 - December 31, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Albany, NY

Past

May 18, 2015 - December 2, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Albany, NY

Past

January 7, 2010 - January 28, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

TROY, NY

Past

April 28, 2006 - January 12, 2010

HSBC SECURITIES (USA) INC.

CRD#: 19585

ALBANY, NY

Past

April 23, 2002 - February 1, 2006

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 20, 2000 - December 11, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DEL-SETTE CAPITAL MANAGEMENT, LLC

CRD#: 159052 / SEC#: 801-79849

RIA

Registered Investment Advisory firm - (6/5/2014 Approved)

New York

Registered Investment Advisory firm - (6/12/2014 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/28/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/27/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/19/2000

General Securities Representative Examination

Current Firm

DEL-SETTE CAPITAL MANAGEMENT, LLC

CRD#: 159052 / SEC#: 801-79849

RIA

Registered Investment Advisory firm - (6/5/2014 Approved)

New York

Registered Investment Advisory firm - (6/12/2014 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2014 Terminated)

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Contact information

Main Address

1332 Union St., Schenectady, NY 12308

Mailing Address

Phone number

(518) 793-3851

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEL-SETTE ADV 2A ("DISCLOSURE BROCHURE") AND ADV2B ("BROCHURE SUPPLEMENT") (1/27/2026)

Regulatory assets under management

Total Number of Accounts	735
AUM (Assets Under Management)	$ 192,533,425

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/03/2025	Cover Page	Report
01/31/2025	Cover Page	Report
11/02/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Glen R. Allen

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CETERA INVESTMENT SERVICES LLC

HSBC SECURITIES (USA) INC.

TD AMERITRADE, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

DEL-SETTE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/28/2015

SIE

Date: 10/1/2018

Series 31

Date: 12/27/2000

Series 7

Date: 12/19/2000

Current Firm

DEL-SETTE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DEL-SETTE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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