Jonathan C. Allen
ALLEN WEALTH MANAGEMENT | Financial Advisor
BOONE, NC 28607
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CRD#: 4752027
Professional summary
Jonathan Chesley Allen, AIF®, CFP®, CLU® is a registered financial advisor currently at ALLEN WEALTH MANAGEMENT, LLC located in Boone, North Carolina and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Boone, North Carolina.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jonathan has worked at 2 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
What are your service offerings?
Trading individual securities
Financial planning
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
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)Name of Business: Allen CPA PLLC Address: 561 New Market Boulevard; Suite 1, Boone, NC, 28607, United States Activity Type: Accounting/CPA Position/Title: Owner/Proprietor Investment Related: No Start Date: 09/06/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I am the sole owner of a CPA practice. We are entering our sixth year. (2)Name of Business: Allen Financial Advisors Address: 980 Highway 105, Boone, NC, 28607, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 11/24/2006 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Reviewing Insurance Policies and offering insurance (3)Name of Business: Allen Wealth Management Address: 980 Highway 105, Boone, NC, 28607, United States Activity Type: Independent RIA Position/Title: Advisor, Owner/Proprietor Investment Related: Yes Start Date: 09/01/2004 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: NOT REQUIRED AT TIME OF SUBMISSION (4)Name of Business: Appalachian Opportunities, LLC Address: 614 Ontario Ridge, Boone, NC, 28607, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 06/30/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of a rental property. (5)Name of Business: J. Allen Professional Services Address: TBD, Bangalore, AN, 0000000, India Activity Type: Accounting/CPA Position/Title: Owner/Proprietor Investment Related: No Start Date: 08/01/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Outsourced accounting for my accounting business (see Allen CPA PLLC OBA)
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Chesley 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: 2005
Experience
Current
November 22, 2004 - Present
ALLEN WEALTH MANAGEMENT, LLC
Office #1: 980 Highway 105, Boone, NC 28607RIA
CRD#: 133038
BOONE, NC
Current
July 22, 2004 - Present
RAYMOND JAMES FINANCIAL SERVICES, INC.
Office #1: 980 Highway 105, Boone, NC 28607BD
CRD#: 6694
Boone, NC
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".
AW
ALLEN WEALTH MANAGEMENT, LLC
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038 / SEC#: 801-64431
RIA
Registered Investment Advisory firm - (6/20/2005 Approved)North Carolina
Registered Investment Advisory firm - (6/22/2005 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
Alabama(1/12/2022)
RR
Arizona(1/6/2023)
RR
Arkansas(3/11/2025)
RR
California(6/8/2016)
RR
Colorado(3/29/2010)
RR
Connecticut(8/24/2012)
RR
Florida(11/28/2006)
RR
Georgia(3/29/2010)
RR
Illinois(8/18/2021)
RR
Indiana(5/13/2019)
RR
Kansas(2/15/2022)
RR
Kentucky(11/30/2015)
IAR
Louisiana(10/29/2016)
RR
Louisiana(3/17/2025)
RR
Maryland(1/6/2016)
RR
Massachusetts(3/19/2025)
RR
Michigan(4/20/2012)
RR
Minnesota(6/29/2017)
RR
Mississippi(3/25/2009)
RR
Missouri(3/2/2021)
RR
Montana(8/29/2008)
RR
Nebraska(1/23/2024)
RR
Nevada(1/6/2015)
RR
New Jersey(2/13/2007)
RR
New Mexico(4/16/2020)
RR
New York(9/8/2004)
RR
North Carolina(8/12/2004)
IAR
North Carolina(11/22/2004)
RR
Ohio(1/3/2012)
RR
Oregon(8/17/2021)
RR
Pennsylvania(4/4/2022)
RR
South Carolina(1/3/2008)
RR
Tennessee(4/14/2008)
RR
Texas(8/6/2013)
IAR
Texas(3/10/2017)
RR
Virginia(1/18/2005)
RR
Wisconsin(3/30/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ALLEN WEALTH MANAGEMENT, LLC
ALLEN WEALTH MANAGEMENT, LLC
CRD#: 133038 / SEC#: 801-64431
RIA
Registered Investment Advisory firm - (6/20/2005 Approved)North Carolina
Registered Investment Advisory firm - (6/22/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
980 Highway 105, Boone, NC 28607
Mailing Address
Phone number
(828) 268-9693
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,589 |
| AUM (Assets Under Management) | $ 553,948,253 |
Red Flags
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Company Information
ALLEN WEALTH MANAGEMENT, LLC
Financial AdvisorCRD#: 133038Boone, NC 28607TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
