Stephen G. Allen

BLACKBURN FINANCIAL

Cashmere, WA 98815

Some features on this profile are disabled

CRD#: 4535419

Professional summary

Stephen Glenn Allen JR, who also goes by Stephen G. Allen, Stephen Glenn Allen, Stephen Allen, Steve Allen, is a registered financial advisor currently at BLACKBURN FINANCIAL located in Cashmere, Washington.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen G. Allen | Stephen Glenn Allen | Stephen Allen | Steve 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.

01/2001-PRESENT, SGSA INC, LEAVENWORTH, WA, NOT INVEST-RELATED, RECORD KEEPING, PRESIDENT, 0 HRS/MO, 0 HRS/DAY DURING SEC TRADING; 01/2007-PRESENT, APARTMENT COMPLEX, LEAVENWORTH, WA, NOT INVEST-RELATED, OWNER, 5 HRS/MO, 0 HRS/DAY DURING SEC TRADING;12/2011-PRESENT, VARIOUS INSURANCE CARRIERS, CASHMERE, WA, INVEST-RELATED, INSURANCE SALES, INSURANCE AGENT;05/2007-PRESENT, STEVE ALLEN, WENATCHEE, WA, NON-INVESTMENT RELATED, PRIVATE, OWNER/LANDLORD, 20 HRS/MO, 0 HRS DURING SECURITY TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Glenn Allen JR'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

January 23, 2019 - Present

BLACKBURN FINANCIAL

Office #1: 121 Cottage Avenue, Cashmere, WA 98815

RIA

CRD#: 159312

Cashmere, WA

Past

January 3, 2012 - January 28, 2019

WADDELL & REED

RIA

CRD#: 866

WENATCHEE, WA

Past

January 3, 2012 - January 28, 2019

WADDELL & REED

CRD#: 866

WENATCHEE, WA

Past

September 30, 2010 - January 26, 2012

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

WENATCHEE, WA

Past

March 19, 2007 - January 4, 2012

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WENATCHEE, WA

Past

September 23, 2004 - October 7, 2010

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

LEAVENWORTH, WA

Past

January 13, 2003 - December 31, 2004

XELAN FINANCIAL PLANNING, INC.

RIA

CRD#: 123794

LEAVENWORTH, WA

Past

October 24, 2001 - January 15, 2003

XELAN INVESTMENT SERVICES, INC.

RIA

CRD#: 111870

LEAVENWORTH, WA

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.

Highlighted states indicate IAR registrations

IAR

Washington
(1/23/2019)

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.

Exams

State Security Law Exam

Series 63

Date: 3/16/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/28/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2007

General Securities Representative Examination

Current Firm

BLACKBURN FINANCIAL

BLACKBURN FINANCIAL | BLACKBURN FINANCIAL, LLC

CRD#: 159312 / SEC#:

Idaho

Registered Investment Advisory firm - (12/16/2021 Approved)

Texas

Registered Investment Advisory firm - (3/21/2016 Terminated)

Washington

Registered Investment Advisory firm - (12/13/2011 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

121 Cottage Avenue, Cashmere, WA 98815

Mailing Address

Po Box 775, Cashmere, WA 98815

Phone number

(509) 782-2600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	550
AUM (Assets Under Management)	$ 90,000,000

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.

Similar Advisors

Jamil Abdullah

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Walter Pachniuk

TRUSTMONT ADVISORY GROUP, INC.

IAR

NEWTOWN, CT

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen G. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Glenn Allen JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

GREENBOOK INVESTMENT MANAGEMENT, INC.

XELAN FINANCIAL PLANNING, INC.

XELAN INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2007

Series 65

Date: 8/28/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2007

Current Firm

BLACKBURN FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLACKBURN FINANCIAL

TRUST BUT VERIFY

Similar Advisors