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Allen L. Claggett

THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS
CLEARWATER, FL 33759
Some features on this profile are disabled
CRD#: 5694090
AC

Professional summary

Allen Leroy Claggett III, CFP®, who also goes by Roy Claggett, is a registered financial advisor currently at THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC located in Clearwater, Florida.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Allen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Roy Claggett

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 SELL INSURANCE AND ANNUITY PRODUCTS THROUGH ADVISORS EXCEL AND THE HOLLAND GROUP. MY TITLE IS RETIREMENT WEALTH ADVISOR. I STARTED THIS BUSINESS 12/2014. I DEVOTE APPROXIMATELY 80 HOURS/MONTH AND 20 HOURS/WEEK TO THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Leroy Claggett III'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: 2021

Experience

Current

February 1, 2024 - Present

THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC

Office #1: 2637 Mc Cormick Drive Suite 101, Clearwater, FL 33759
RIA
CRD#: 326421
CLEARWATER, FL
Past

March 4, 2015 - May 14, 2024

MUTUAL TRUST ASSET MGMT., INC.

RIA
CRD#: 121364
Clearwater, FL
Past

December 22, 2010 - November 12, 2014

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
TAMPA, FL
Past

November 15, 2010 - November 12, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
TAMPA, FL

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".
TH
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC
THE HOLLAND GROUP INCOME TAX AND FINANCIAL STRATEGIES INC. | THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC

CRD#: 326421 / SEC#: 801-128805

RIA
Registered Investment Advisory firm - (10/24/2023 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
Florida
(2/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2010
General Securities Representative Examination

Current Firm

TH
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC
THE HOLLAND GROUP INCOME TAX AND FINANCIAL STRATEGIES INC. | THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC

CRD#: 326421 / SEC#: 801-128805

RIA
Registered Investment Advisory firm - (10/24/2023 Approved)
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Contact information

Main Address
2637 Mc Cormick Drive Suite 101, Clearwater, FL 33759
Mailing Address
Phone number
(727) 734-3334
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (3/23/2025)
FORM ADV PART 2A (3/23/2025)

Regulatory assets under management

Total Number of Accounts1,628
AUM (Assets Under Management)$ 215,212,800

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.

Company Information

THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC

CRD#: 326421Clearwater, FL 33759

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