Kathryn A. Allen

ALLEN WEALTH ADVISORS

Colleyville, TX 76034

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CRD#: 5934449

Professional summary

Kathryn Ann Allen, CFP®, who also goes by Allen Ann Kay, Kathryn Ann Sargent, is a registered financial advisor currently at ALLEN WEALTH ADVISORS located in Colleyville, Texas.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Kathryn has worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allen Ann Kay | Kathryn Ann Sargent

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.

Kathryn Allen is registered as an investment adviser representative of Allen Wealth Advisors, LLC and provides advisory services to Clients of that firm. This activity accounts for up to 40 hours per week during normal trading hours. Advisory services provided to Clients of Allen Wealth Advisors, LLC are separate from any services provided to Clients of CPWM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Ann 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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

October 1, 2020 - Present

ALLEN WEALTH ADVISORS

Office #1: 6110 Colleyville Blvd Ste106, Colleyville, TX 76034

RIA

CRD#: 310105

Colleyville, TX

Current

November 5, 2025 - Present

Office #1: 6110 Colleyville Blvd Ste 106, Colleyville, TX 76034

COLLEYVILLE, TX

Past

December 18, 2018 - October 5, 2020

TRINITY PORTFOLIO ADVISORS, LLC

RIA

CRD#: 151721

Colleyville, TX

Past

January 31, 2013 - December 13, 2018

ASPEN WEALTH MANAGEMENT, LLC

RIA

CRD#: 159594

FORT WORTH, TX

Past

January 30, 2013 - November 2, 2013

CETERA ADVISORS LLC

RIA

CRD#: 10299

FORT WORTH, TX

Past

January 30, 2013 - November 2, 2013

CETERA ADVISORS LLC

CRD#: 10299

FORT WORTH, TX

Past

March 20, 2012 - October 25, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

BEDFORD, TX

Past

January 16, 2012 - October 25, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

BEDFORD, TX

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
(10/1/2020)

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: 3/18/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/2012

General Securities Representative Examination

Current Firm

ALLEN WEALTH ADVISORS

ALLEN WEALTH ADVISORS | ALLEN WEALTH ADVISORS, LLC

CRD#: 310105 / SEC#:

Texas

Registered Investment Advisory firm - (10/1/2020 Approved)

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Contact information

Main Address

6110 Colleyville Blvd Ste106, Colleyville, TX 76034

Mailing Address

Phone number

(817) 500-0014

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	93
AUM (Assets Under Management)	$ 37,300,489

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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Kathryn A. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Ann Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEN WEALTH ADVISORS

TRINITY PORTFOLIO ADVISORS, LLC

ASPEN WEALTH MANAGEMENT, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/18/2012

Series 7

Date: 1/15/2012

Current Firm

ALLEN WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALLEN WEALTH ADVISORS

TRUST BUT VERIFY

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