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BA

Brandon K. Allen

AAIM FINANCIAL
OCEAN SPRINGS, MS
Some features on this profile are disabled
CRD#: 6285249
BA

Professional summary

Brandon Keith Allen is a registered financial advisor currently at AAIM FINANCIAL located in Ocean Springs, Mississippi.

Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Brandon 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

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.
1. 3/12/2020 - Integrity Agency - Investment Related - Locked and Separated Floor, Office Location at 302 Sunset Drive Ste 107 Johnson City TN 37604 - Insurance Agency - Insurance Agent - Start Date: 03/01/2020 - 10 Hours Per Month/4 Hours During Securities Trading - 1099 Health Insurance Agent selling Medicare Advantage/Medicare supplement and Dental/Vision insurance to individuals as well as Group Health Insurance and Group Voluntary Dental/Vision Insurance/Disability insurance. 2. 4/9/2020 - Benefits Plus - Investment Related - Separated and Locked Floor Location at 302 Sunset Drive Ste 107 Johnson City TN 37604 - Insurance Agency - Partner - Start Date: 03/01/2020 - 5 Hours Per Month/0 Hours During Securities Trading - Insurance Agency which sells Employer Group Health Insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Keith 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®
None

Experience

Current

March 21, 2022 - Present

AAIM FINANCIAL

RIA
CRD#: 318351
OCEAN SPRINGS, MS
Past

April 13, 2015 - October 8, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
JOHNSON CITY, TN
Past

April 6, 2015 - November 19, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
JOHNSON CITY, TN
Past

March 17, 2014 - January 7, 2015

EDWARD JONES

RIA
CRD#: 250
MORRISTOWN, TN
Past

February 25, 2014 - January 7, 2015

EDWARD JONES

BD
CRD#: 250
MORRISTOWN, TN

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
Mississippi
(12/20/2023)
IAR
Tennessee
(3/21/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/14/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2014
General Securities Representative Examination

Current Firm

AF
AAIM FINANCIAL
AAIM FINANCIAL | ALLEN & ASSOCIATES INVESTMENT MANAGEMENT LLC

CRD#: 318351 / SEC#:

Mississippi
Registered Investment Advisory firm - (12/19/2023 Approved)
Tennessee
Registered Investment Advisory firm - (3/21/2022 Approved)
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Contact information

Main Address
Ocean Springs, MS
Mailing Address
Phone number
(228) 276-1669
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts30
AUM (Assets Under Management)$ 1,590,000

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

AAIM FINANCIAL

CRD#: 318351Ocean Springs, MS

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