William A. Allen Ii

CARY STREET PARTNERS

CHARLOTTE, NC 28209

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CRD#: 4418904

Professional summary

William Aquilla Allen Ii, who also goes by Will Allen, William Aquilla Allen, is a registered financial advisor currently at CARY STREET PARTNERS located in Charlotte, North Carolina and CARY STREET PARTNERS located in Charlotte, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. William has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Will Allen | William Aquilla 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) - RIA

Click below to view William Aquilla Allen Ii's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 13, 2015 - Present

CARY STREET PARTNERS

Office #1: 2820 Selwyn Ave Ste 525, Charlotte, NC 28209

RIA

CRD#: 128545

CHARLOTTE, NC

Current

September 28, 2015 - Present

CARY STREET PARTNERS

Office #1: 2820 Selwyn Avenue Suite 525, Charlotte, NC 28209

CRD#: 128089

Charlotte, NC

Past

March 14, 2012 - May 12, 2015

ANCORA WEALTH MANAGEMENT LLC

RIA

CRD#: 161938

CHARLOTTE, NC

Past

January 14, 2011 - March 9, 2012

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

CHARLOTTE, NC

Past

January 14, 2011 - March 9, 2012

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

CHARLOTTE, NC

Past

June 1, 2009 - January 21, 2011

MORGAN STANLEY

RIA

CRD#: 149777

CHARLOTTE, NC

Past

June 1, 2009 - January 21, 2011

MORGAN STANLEY

CRD#: 149777

CHARLOTTE, NC

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CHARLOTTE, NC

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CHARLOTTE, NC

Past

June 15, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHARLOTTE, NC

Past

January 8, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CHARLOTTE, NC

Past

August 15, 2001 - November 28, 2003

CAROLINAS INVESTMENT CONSULTING LLC

CRD#: 104379

CHARLOTTE, NC

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/25/2016)

Georgia
(5/27/2016)

Illinois
(11/5/2021)

Massachusetts
(1/29/2025)

Mississippi
(6/22/2017)

New York
(5/26/2016)

IAR

North Carolina
(5/13/2015)

North Carolina
(5/12/2016)

Pennsylvania
(5/26/2016)

South Carolina
(5/31/2016)

Tennessee
(5/26/2016)

Virginia
(5/12/2016)

IAR

Virginia
(1/8/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/12/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/17/2004

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: 5/5/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/14/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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Contact information

Main Address

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	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

William A. Allen Ii

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Aquilla Allen Ii's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

ANCORA WEALTH MANAGEMENT LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CAROLINAS INVESTMENT CONSULTING LLC

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/2016

Series 66

Date: 3/17/2004

SIE

Date: 10/1/2018

Series 31

Date: 5/5/2004

Series 7

Date: 8/14/2001

FINRA

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

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