Charles M. Allen

THE COURTNEY GROUP

NEWPORT BEACH, CA 92660

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CRD#: 4464901

Professional summary

Charles Matthew Allen is a registered financial professional currently at THE COURTNEY GROUP, LLC located in Newport Beach, California.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Charles Matthew Allen's 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 3, 2016 - Present

THE COURTNEY GROUP, LLC

Office #1: 363 San Miguel Drive Suite 210, Newport Beach, CA 92660

CRD#: 114904

NEWPORT BEACH, CA

Past

July 1, 2013 - April 29, 2016

WESTERN FINANCIAL CORPORATION

CRD#: 6118

SAN DIEGO, CA

Past

February 8, 2013 - June 12, 2013

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEWPORT BEACH, CA

Past

September 7, 2006 - May 6, 2013

MILESTONE ADVISORS LLC

CRD#: 112481

NEWPORT BEACH, CA

Past

August 4, 2006 - September 1, 2006

HOWE BARNES HOEFER & ARNETT, INC.

CRD#: 2240

LOS ANGELES, CA

Past

April 19, 2002 - August 4, 2006

HOEFER & ARNETT, INCORPORATED

CRD#: 10883

LOS ANGELES, CA

Past

March 1, 2002 - April 11, 2002

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(5/3/2016)

New Jersey
(1/27/2025)

Virginia
(1/2/2024)

Exams

State Security Law Exam

Series 63

Date: 2/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/28/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE COURTNEY GROUP, LLC

CRD#: 114904 / SEC#: , 8-53453

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

363 San Miguel Drive Suite 210, Newport Beach, CA 92660

Mailing Address

363 San Miguel Drive Suite 210, Newport Beach, CA 92660

Phone number

(949) 706-3600

Established

Delaware since 06/01/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
COURTNEY, THOMAS WILLIAM JR	PRESIDENT/DIRECTOR, CHIEF COMPLIANCE OFFICER	1587615
COLLINS, ELIZABETH SARAH	FINANCIAL AND OPERATIONS PRINCIPAL	4714831

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Charles M. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Matthew Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN FINANCIAL CORPORATION

HOULIHAN LOKEY CAPITAL, INC.

MILESTONE ADVISORS LLC

HOWE BARNES HOEFER & ARNETT, INC.

HOEFER & ARNETT, INCORPORATED

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2005

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/28/2002

Series 24

Date: 8/4/2008

FINRA

Current Firm

THE COURTNEY GROUP, LLC

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

THE COURTNEY GROUP, LLC

TRUST BUT VERIFY

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