Gregory S. Allen

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CRD#: 4395102

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.

Gregory Scott Allen, CFP®, who also goes by Greg Allen, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 2007. Gregory had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Greg 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.

The advisor shows no other business activity.

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

Start date: 2006

Experience

Past

August 19, 2025 - January 15, 2026

APELLA WEALTH

RIA

CRD#: 171106

Lake Oswego, OR

Past

February 1, 2021 - December 31, 2025

WELLSPRING ADVISORS, INC.

RIA

CRD#: 147861

HILLSBORO, OR

Past

January 2, 2013 - February 1, 2021

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

LAKE OSWEGO, OR

Past

December 18, 2008 - February 1, 2021

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

LAKE OSWEGO, OR

Past

January 24, 2007 - December 19, 2008

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

LAKE OSWEGO, OR

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".

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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

Series 63

Date: 2/28/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2007

General Securities Representative Examination

Current Firm

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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Contact information

Main Address

65 Memorial Drive Suite C340, West Hartford, CT 06107

Mailing Address

Phone number

(860) 785-2260

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	19,172
AUM (Assets Under Management)	$ 7,953,076,688

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/16/2026	Cover Page	Report
01/24/2025	Cover Page	Report
03/29/2024	Cover Page	Report
04/30/2023	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

Gregory S. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLSPRING ADVISORS, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

CROWN CAPITAL SECURITIES, L.P.

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/2007

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2007

Current Firm

APELLA WEALTH

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

APELLA WEALTH

TRUST BUT VERIFY

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