Mark J. Allen
ALLEN CAPITAL GROUP
Grand Island, NE 68803
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CRD#: 4581548
Professional summary
Mark Jerome Allen, CFP® is a registered financial advisor currently at ALLEN CAPITAL GROUP, LLC located in Grand Island, Nebraska.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 4 firms and has passed the Series 66, Series 99TO, 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 CAPITAL GROUP. Investment Related. 3540 Prairieview Street, Ste 200, Grand Island NE. RIA. Managing Member. 2. INSURANCE AGENT. Not investment related. 18 Corporate Woods Blvd, Albany NY. Insurance. Agent. Start 7/2006. 3. STUHR MUSEUM OF THE PRAIRIE PIONEER, NON-INVESTMENT RELATED, 3133 W. HWY 34 GRAND ISLAND NE 68801. HISTORICAL MUSEUM, OPERATING BOARD TRUSTEE JANUARY 2014, 2 HOURS MONTH, POLICY MAKING AUTHORITY IN THE CONDUCT OF THE OPERATION OF THE MUSEUM. 4. VERITAS PROFESSIONAL GROUP, LLC, 3032 W STOLLEY PARK RD, GRAND ISLAND, NE 68861. NOT INVESTMENT RELATED, 9/2015-PRESENT, MEMBER/DIRECTOR OF ACCOUNTING FIRM, 5 HRS/MONTH DURING TRADING. 5.GRAND ISLAND CHAMBER OF COMMERCE; NOT INVESTMENT RELATED; 390 W 2ND ST GRAND ISLAND, NE 68801; LOCAL CHAMBER OF COMMERCE; BOARD MEMBER; 01/2017; 2 HOURS/MONTH; 2 HOURS/MONTH DURING TRADING HOURS; ESTABLISHING THE DIRECTION AND DEVELOPING THE STRATEGIC PLAN FOR THE GRAND ISLAND CHAMBER OF COMMERCE 6. KEYSTONE PROPERTIES, LLC; NOT INVESTMENT RELATED; 3032 W STOLLEY PARK RD GRAND ISLAND, NE 68801; REAL ESTATE HOLDING COMPANY; MANAGING MEMBER; 2/2017; 10 HOURS/MONTH; 0 HOURS DURING SECURITIES HOURS; MANAGING MEMBER, REAL ESTATE HOLDING COMPANY FOR RENTAL REAL ESTATE 7. Kenmare Owners Association-Not investment related-2712 Pioneer Blvd, Grand Island, NE 68801-Homeowners Association-Director-9/1/2018-.25 hrs/mth-0 during trading hrs-Board of directors for the homeowners association. 8. ACG Solutions, Inc.-Not investment related-3032 W. Stolley Park Rd, Grand Island, NE-68801-Marketing & client relations for RIA firm, Allen Capital Group, LLC-President-1/2019--Management of staff, review of financial statements. 9. Co-Owner; c; Is the business investment related: No; Location of the business: 3540 Prairieview Street, Ste 200 Grand Island Nebraska 68803 US; Description of the business: Accounting firm.; Responsibilities Duties: Overall operations of the accounting firm.; Start date with business: 2023-11-13; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0; 10. Mark Allen is a Board Member and on the Finance Committee at College Park at Grand Island. College Park strives to increase the quality of life throughout our region by providing a unique center for education, arts, and entertainment. We seek to impact the future by enhancing collaboration with current and potential partners who provide relevant and affordable post-secondary education, personal enrichment, and life-long learning opportunities. His responsibilities are to ensure proper oversight and enable the organization to make consistent progress toward its mission. Start date with business: 2023-07-28; Hours per month devoted to business during trading hours: 1; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Jerome 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: 2004
Experience
Current
July 29, 2005 - Present
ALLEN CAPITAL GROUP, LLC
Office #1: 3540 Prairieview Street Suite 200, Grand Island, NE 68803RIA
CRD#: 135879
Grand Island, NE
Past
July 29, 2005 - March 10, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
GRAND ISLAND, NE
Past
October 22, 2002 - August 2, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GRAND ISLAND, NE
Past
September 17, 2002 - August 2, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 17, 2002 - August 2, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
AC
ALLEN CAPITAL GROUP, LLC
ALLEN CAPITAL GROUP, LLC
CRD#: 135879 / SEC#: 801-64514
RIA
Registered Investment Advisory firm - (7/15/2005 Approved)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
Nebraska(8/8/2005)
IAR
Texas(7/29/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
ALLEN CAPITAL GROUP, LLC
ALLEN CAPITAL GROUP, LLC
CRD#: 135879 / SEC#: 801-64514
RIA
Registered Investment Advisory firm - (7/15/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3540 Prairieview Street Suite 200, Grand Island, NE 68803
Mailing Address
Phone number
(308) 385-1500
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,558 |
| AUM (Assets Under Management) | $ 1,223,235,037 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/03/2025 | ||
| 11/25/2024 | ||
| 11/17/2023 | ||
| 12/16/2022 |
Red Flags
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Company Information
ALLEN CAPITAL GROUP, LLC
CRD#: 135879Grand Island, NE 68803TRUST BUT VERIFY
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