Allen J. Roud

ROUD FINANCIAL SERVICES

Huntersville, NC

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CRD#: 5308191

Professional summary

Allen Jeffrey Roud, who also goes by Allen Jeffery Roud, is a registered financial advisor currently at ROUD FINANCIAL SERVICES, LLC located in Huntersville, North Carolina.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Allen has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allen Jeffery Roud

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.

I AM A PARTNER IN ONE RC PROPERTIES LLC. THIS BUSINESS IS NOT INVESTMENT RELATED. WE OWN 26 ACRES OF FARMLAND. IT IS BEING FARMED AT PRESENT. WE HAVE OWNED IT FOR 2 YEARS. I WORK AN AVERAGE OF 10 HOURS PER MONTH. NO HOURS WOULD BE DURING SECURITIES TRADING HOURS. THIS WOULD NOT INTERFERE AT ALL WITH MY JOB. THE ADDRESS IS MY PARTNERS HOME - 5322 HAWICK STREET, N.W., CANTON, OHIO 44708

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Jeffrey Roud'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

February 24, 2011 - Present

ROUD FINANCIAL SERVICES, LLC

RIA

CRD#: 156492

Huntersville, NC

Past

September 20, 2007 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CANFIELD, OH

Past

July 17, 2007 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CANFIELD, OH

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

Ohio
(2/24/2011)

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: 9/14/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/2007

General Securities Representative Examination

Current Firm

ROUD FINANCIAL SERVICES, LLC

ROUD FINANCIAL SERVICES | ROUD FINANCIAL SERVICES, LLC

CRD#: 156492 / SEC#:

Ohio

Registered Investment Advisory firm - (2/24/2011 Approved)

Pennsylvania

Registered Investment Advisory firm - (1/7/2013 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).

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Contact information

Main Address

Huntersville, NC

Mailing Address

Phone number

(330) 301-4853

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,871,525

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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Allen J. Roud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Jeffrey Roud's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUD FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2007

Series 7

Date: 7/16/2007

Current Firm

ROUD FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROUD FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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