Kerri A. Allen

ROOT FINANCIAL PARTNERS

New Portland, ME

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CRD#: 4760336

Professional summary

Kerri Allison Allen, CFP®, who also goes by Kerri Allison Guion, Kerri A Nicklas, is a registered financial advisor currently at ROOT FINANCIAL PARTNERS located in New Portland, Maine.

Kerri is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kerri has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kerri Allison Guion | Kerri A Nicklas

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerri Allison Allen's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2015

Experience

Current

August 12, 2025 - Present

ROOT FINANCIAL PARTNERS

RIA

CRD#: 290289

New Portland, ME

Past

April 8, 2019 - August 4, 2025

TFC FINANCIAL MANAGEMENT INC

RIA

CRD#: 105062

BOSTON, MA

Past

March 25, 2017 - March 25, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

WELLESLEY, MA

Past

March 25, 2017 - March 25, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

WELLESLEY, MA

Past

December 22, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BOSTON, MA

Past

December 21, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BOSTON, MA

Past

July 15, 2009 - November 23, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

BOSTON, MA

Past

June 30, 2009 - November 23, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BOSTON, MA

Past

October 18, 2007 - March 25, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEW YORK, NY

Past

October 15, 2007 - March 25, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEW YORK, NY

Past

October 16, 2006 - October 15, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WELLESLEY, MA

Past

March 15, 2004 - June 12, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

EUREKA, CA

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".

ROOT FINANCIAL PARTNERS

ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS

CRD#: 290289 / SEC#: 801-125945

RIA

Registered Investment Advisory firm - (7/8/2022 Approved)

California

Registered Investment Advisory firm - (8/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2022 Terminated)

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).

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

California
(8/12/2025)

IAR

Maine
(8/14/2025)

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

IAR

Series 66

Date: 6/25/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/13/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROOT FINANCIAL PARTNERS

ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS

CRD#: 290289 / SEC#: 801-125945

RIA

Registered Investment Advisory firm - (7/8/2022 Approved)

California

Registered Investment Advisory firm - (8/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2022 Terminated)

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Contact information

Main Address

1106 2nd Street Suite 102, Encinitas, CA 92024

Mailing Address

Phone number

(760) 452-0720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (8/12/2025)

Regulatory assets under management

Total Number of Accounts	2,597
AUM (Assets Under Management)	$ 1,106,417,268

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.

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Kerri A. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerri Allison Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

TFC FINANCIAL MANAGEMENT INC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ROOT FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2007

Series 63

Date: 6/18/2004

SIE

Date: 10/1/2018

Series 7

Date: 4/30/2007

Series 6

Date: 3/13/2004

Current Firm

ROOT FINANCIAL PARTNERS

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROOT FINANCIAL PARTNERS

TRUST BUT VERIFY

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