TA
Thomas G. Allen
RIA ADVISORS
Houston, TX 77079
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CRD#: 5904285
TA
Professional summary
Thomas George Allen, AIF® is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Thomas has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
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.
District H CrossFit - private contractor, non-investment related, March 2015 to present, 25 hours per month, 0 during securities trading hours. Coach participates in crossfit exercises. Partner in a local gym in the Houston Heights Thomas George Allen is a financial Advisor with Clarity Financial DBA RIA Wealth Advisors LLC which is a wealth management company. His responsibilities include providing financial advice. 35 hours a month is spent on this activity during trading hours and 10 hours a month outside of trading hours. 20% of his yearly compensation is derived from this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas George 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®
Experience
Current
May 4, 2021 - Present
RIA ADVISORS
Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079RIA
CRD#: 150661
Houston, TX
Past
November 28, 2017 - March 29, 2021
MCMILL CPA AND ADVISORS
RIA
CRD#: 129015
Houston, TX
Past
March 25, 2013 - November 13, 2017
INDEX FUND ADVISORS, INC.
RIA
CRD#: 109143
IRVINE, 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".
RA
RIA ADVISORS
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
CRD#: 150661 / SEC#: 801-77832
RIA
Registered Investment Advisory firm - (4/16/2013 Approved)Arizona
Registered Investment Advisory firm - (4/23/2013 Terminated)Louisiana
Registered Investment Advisory firm - (4/25/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (4/23/2013 Terminated)Texas
Registered Investment Advisory firm - (4/23/2013 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.Highlighted states indicate IAR registrations
IAR
Texas(5/4/2021)
Current Firm
RA
RIA ADVISORS
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
CRD#: 150661 / SEC#: 801-77832
RIA
Registered Investment Advisory firm - (4/16/2013 Approved)Arizona
Registered Investment Advisory firm - (4/23/2013 Terminated)Louisiana
Registered Investment Advisory firm - (4/25/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (4/23/2013 Terminated)Texas
Registered Investment Advisory firm - (4/23/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11750 Katy Freeway Suite 840, Houston, TX 77079
Mailing Address
Phone number
(281) 501-1791
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,581 |
| AUM (Assets Under Management) | $ 1,530,453,633 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
