ZA
Zachary M. Allen
CETERA INVESTMENT ADVISERS LLC
ADDISON, TX 75001
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CRD#: 5059261
ZA
Professional summary
Zachary Mark Allen, who also goes by Zachary Allen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Addison, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Zachary has worked at 5 firms and has passed the Series 66, SIE, Series 50 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Zachary 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 1/2009 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: .10 BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE; 2. NAME OF OTHER BUSINESS: BUFFCHILI INVESTMENT RELATED: NO ADDRESS: 8926 FAIRGLEN DR., DALLAS, TX 75231 NATURE OF BUSINESS: NON-SECURITIES RELATED REFERRAL COMPENSATION START DATE: 1/2021 POSITION/TITLE/RELATIONSHIP: MANAGER APX NUMBER OF HOURS PER WEEK: 20-40 APX NUMBER OF HOURS DURING TRADING HOURS: 20-40 BRIEF DESCRIPTION OF DUTIES: REFER BANKS TO FDIC INSURED PROGRAMS AND CLIENTS TO THOSE PROGRAMS; 3. NAME OF OTHER BUSINESS: DISCIPLINED ADVISORS GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: THIS IS A SELF-BRANDING NAME START DATE: 1/2010 POSITION/TITLE/RELATIONSHIP: THIS IS A SELF-BRANDING NAME APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: THIS IS A SELF-BRANDING NAME.; 4. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: ATARAXIA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT START DATE: 1/2020 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT; 6. NAME OF OTHER BUSINESS: DISCIPLINED ADVISORS GROUP, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 7/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LLC ESTABLISHED TO PAY BUSINESS EXPENSES;
CRS (Client Relationship Summary) - RIA
Click below to view Zachary Mark 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 14135 Midway Road Suite G100, Addison, TX 75001Office #2: 17177 Preston Rd, Suite 360, Dallas, TX 75248RIA
CRD#: 105644
ADDISON, TX
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 17177 Preston Rd, Suite 360, Dallas, TX 75248BD
CRD#: 13572
Dallas, TX
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ADDISON, TX
Past
June 11, 2010 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
ADDISON, TX
Past
June 11, 2010 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
ADDISON, TX
Past
January 16, 2009 - June 15, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
DALLAS, TX
Past
January 13, 2009 - June 15, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
DALLAS, TX
Past
January 23, 2006 - November 14, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SCOTTSDALE, AZ
Past
January 10, 2006 - November 14, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SCOTTSDALE, AZ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(4/20/2022)
RR
California(4/20/2022)
RR
Colorado(4/20/2022)
RR
Florida(4/21/2022)
RR
Georgia(4/20/2022)
RR
Illinois(4/20/2022)
RR
Iowa(4/20/2022)
RR
Kansas(4/20/2022)
RR
Maine(5/10/2022)
RR
Maryland(1/4/2023)
RR
Massachusetts(4/20/2022)
RR
Minnesota(4/20/2022)
RR
Mississippi(4/20/2022)
RR
Missouri(4/20/2022)
RR
New Mexico(4/20/2022)
RR
New York(4/20/2022)
RR
North Carolina(4/20/2022)
RR
Ohio(4/20/2022)
RR
Oklahoma(4/20/2022)
RR
Oregon(4/20/2022)
RR
Pennsylvania(4/20/2022)
RR
South Carolina(4/20/2022)
RR
South Dakota(4/20/2022)
RR
Texas(4/20/2022)
IAR
Texas(6/29/2023)
RR
Utah(4/20/2022)
RR
Washington(4/1/2025)
RR
Wisconsin(4/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
