KA
Kenneth S. Allen
ALLEN FINANCIAL MANAGEMENT
OXFORD, MI 48371
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CRD#: 4498334
KA
Professional summary
Kenneth Sherman Allen, CFP® is a registered financial advisor currently at ALLEN FINANCIAL MANAGEMENT located in Oxford, Michigan and MUTUAL SECURITIES, INC. located in Oxford, Michigan.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kenneth has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.ALLEN FINANCIAL MGMT, LLC, START: 04/01/2010, 925 N. LAPEER RD., SUITE 159, OXFORD, MI 48371, RIA, INVESTMENT ADVISOR,CCO & MANAGING MEMBER, INVESTMENT RELATED, 200 HOURS PER MONTH, 6 HOURS PER DAY DURING TRADING HOURS. 2. ALLEN FINANCIAL MGMT, LLC, START: 04/01/2010, 925 N. LAPEER RD., SUITE 159, OXFORD, MI 48371, INSURANCE AGENCY/TERM LIFE & UNIVERSAL LIFE INSURANCE SERVICES, AGENT, NOT INVESTMENT RELATED, 2 HOURS PER MONTH, <1 HOURS PER DAY DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Sherman 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®
CFP®
Start date: 2006
Experience
Current
November 17, 2010 - Present
ALLEN FINANCIAL MANAGEMENT
Office #1: 925 N. Lapeer Rd Suite 159, Oxford, MI 48371RIA
CRD#: 153511
OXFORD, MI
Current
March 30, 2015 - Present
MUTUAL SECURITIES, INC.
Office #1: 925 N. Lapeer Road Ste. 159, Oxford, MI 48371BD
CRD#: 13092
Oxford, MI
Past
December 18, 2008 - March 30, 2015
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
OXFORD, MI
Past
February 1, 2002 - October 16, 2002
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
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".
AF
ALLEN FINANCIAL MANAGEMENT
ALLEN FINANCIAL MANAGEMENT | ALLEN FINANCIAL MANAGEMENT, LLC
CRD#: 153511 / SEC#: 801-132815
RIA
Registered Investment Advisory firm - (5/20/2025 Approved)Louisiana
Registered Investment Advisory firm - (5/29/2025 Terminated)Michigan
Registered Investment Advisory firm - (6/5/2025 Terminated)North Carolina
Registered Investment Advisory firm - (11/6/2018 Terminated)Texas
Registered Investment Advisory firm - (5/29/2025 Terminated)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.RR
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
RR
California(4/24/2020)
RR
Florida(3/30/2015)
IAR
Michigan(11/17/2010)
RR
Michigan(3/30/2015)
RR
Mississippi(5/6/2015)
RR
North Carolina(3/30/2015)
RR
South Carolina(4/24/2020)
RR
Tennessee(1/20/2017)
IAR
Texas(7/31/2018)
RR
Texas(9/24/2025)
RR
Virginia(5/15/2018)
RR
Washington(11/12/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLEN FINANCIAL MANAGEMENT
ALLEN FINANCIAL MANAGEMENT | ALLEN FINANCIAL MANAGEMENT, LLC
CRD#: 153511 / SEC#: 801-132815
RIA
Registered Investment Advisory firm - (5/20/2025 Approved)Louisiana
Registered Investment Advisory firm - (5/29/2025 Terminated)Michigan
Registered Investment Advisory firm - (6/5/2025 Terminated)North Carolina
Registered Investment Advisory firm - (11/6/2018 Terminated)Texas
Registered Investment Advisory firm - (5/29/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
925 N. Lapeer Rd Suite 159, Oxford, MI 48371
Mailing Address
Phone number
(248) 572-4731
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 433 |
| AUM (Assets Under Management) | $ 114,585,338 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ALLEN FINANCIAL MANAGEMENT
CRD#: 153511Oxford, MI 48371TRUST BUT VERIFY
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