Zachary D. Allen
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.
Zachary Douglas Allen, CFP®, who also goes by Zach Douglas Allen, Zachary D Allen, Zachary Allen, was a registered financial professional .
Zachary is a previously registered financial professional and started their career in finance in 2002. Zachary had worked at 18 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
March 6, 2024 - August 4, 2025
EDWARD JONES
February 20, 2024 - August 4, 2025
EDWARD JONES
November 12, 2023 - November 20, 2023
MID-AMERICAN WEALTH ADVISORY GROUP
July 15, 2019 - March 13, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 2019 - March 13, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 2018 - July 15, 2019
LPL FINANCIAL LLC
June 11, 2018 - July 15, 2019
LPL FINANCIAL LLC
September 17, 2015 - May 3, 2018
CAPITAL ONE ADVISORS, LLC
September 17, 2015 - May 3, 2018
CAPITAL ONE INVESTING, LLC
May 28, 2014 - September 11, 2015
COMMONWEALTH FINANCIAL NETWORK
May 28, 2014 - September 11, 2015
COMMONWEALTH FINANCIAL NETWORK
February 5, 2013 - November 14, 2013
HARRISDIRECT LLC
February 5, 2013 - November 14, 2013
E*TRADE SECURITIES LLC
December 18, 2012 - January 22, 2013
SCOTTRADE, INC.
July 26, 2012 - October 25, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 25, 2012 - October 25, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 26, 2010 - July 10, 2012
TD AMERITRADE, INC.
March 26, 2010 - July 10, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 26, 2010 - July 10, 2012
TD AMERITRADE, INC.
July 6, 2009 - April 12, 2010
CUSO FINANCIAL SERVICES, L.P.
July 6, 2009 - April 12, 2010
CUSO FINANCIAL SERVICES, L.P.
May 28, 2008 - July 6, 2009
TD AMERITRADE, INC.
May 28, 2008 - July 6, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 28, 2008 - July 6, 2009
TD AMERITRADE, INC.
September 6, 2005 - May 15, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 6, 2005 - May 15, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 19, 2005 - August 19, 2005
TRANSAMERICA INVESTORS SECURITIES, LLC
May 9, 2002 - January 20, 2004
WELLS FARGO INVESTMENTS, LLC
February 5, 2002 - January 20, 2004
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
