Allen P. Deleon

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CRD#: 4402739

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.

Allen Patrick Deleon was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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®

None

Experience

Past

November 12, 2009 - December 17, 2021

PEAK INVESTMENT ADVISORS, INC.

RIA

CRD#: 117875

GAITHERSBURG, MD

Past

October 15, 2008 - November 16, 2009

NORTHWEST FINANCIAL GROUP LLC

RIA

CRD#: 145064

GAITHERSBURG, MD

Past

March 19, 2008 - November 16, 2009

NORTHWEST FINANCIAL GROUP LLC

CRD#: 145064

GAITHERSBURG, MD

Past

May 8, 2007 - November 13, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

GAITHERSBURG, MD

Past

May 8, 2007 - November 13, 2009

LPL FINANCIAL LLC

CRD#: 6413

GAITHERSBURG, MD

Past

June 6, 2002 - January 4, 2007

LEO BROKERAGE, LLC

CRD#: 109121

GAITHERSBURG, MD

Past

July 13, 2001 - June 4, 2002

WORLD CHOICE SECURITIES, INC.

CRD#: 30933

COLUMBUS, OH

Past

April 6, 2000 - December 31, 2006

PROFESSIONAL PARTNERS CORPORATION

RIA

CRD#: 113897

GAITHERSBURG, MD

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

IAR

Series 66

Date: 8/11/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 7/12/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEAK INVESTMENT ADVISORS, INC.

DGF INVESTMENT ADVISORS, INC. | PEAK INVESTMENT ADVISORS, INC.

CRD#: 117875 / SEC#: 801-125943

RIA

Registered Investment Advisory firm - (9/27/2023 Terminated)

Delaware

Registered Investment Advisory firm - (7/27/2023 Approved)

District of Columbia

Registered Investment Advisory firm - (7/14/2022 Terminated)

Florida

Registered Investment Advisory firm - (9/19/2023 Approved)

Maryland

Registered Investment Advisory firm - (5/26/2023 Approved)

Texas

Registered Investment Advisory firm - (5/24/2023 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (7/19/2023 Approved)

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).

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Contact information

Main Address

13216 Executive Park Terrace, Germantown, MD 20874

Mailing Address

Phone number

(240) 361-2700

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 97,091,285

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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Allen P. Deleon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEAK INVESTMENT ADVISORS, INC.

NORTHWEST FINANCIAL GROUP LLC

NORTHWEST FINANCIAL GROUP LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LEO BROKERAGE, LLC

WORLD CHOICE SECURITIES, INC.

PROFESSIONAL PARTNERS CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/1999

Series 6

Date: 7/12/2001

Current Firm

PEAK INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEAK INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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