RA
Rock W. Allen
TENCAP WEALTH COACHING
SOUTH JORDAN, UT 84095
Some features on this profile are disabled
CRD#: 6512541
RA
Professional summary
Rock Winchester Allen Sr, who also goes by Rock Winchester Allen, is a registered financial advisor currently at TENCAP WEALTH COACHING located in South Jordan, Utah.
Rock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Rock has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rock Winchester Allen
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.
ROCK WINCHESTER ALLEN COUNSELLOR AT LAW, PLLC; LAWYER PRACTICING WITH HIS OWN LAW FIRM.
SAGE CORPORATE SERVICES, LLC; MANAGER; THE FIRM IS A CORPORATE REGISTERED AGENT THAT ACTS AS A REGISTERED AGENT FOR BUSINESS CLIENTS OF SAGE LAW PARTNERS, LLC.
SAGE LAW PARTNERS, LLC; OF COUNSEL; LAW FIRM; 140 N UNION AVE STE 220, FARMINGTON, UT 84025; MANAGES HIS OWN PRACTICE AND CLIENTS, COVER COSTS ASSOCIATED WITH HIS PRACTICE; START DATE WITH BUSINESS: 2012-08-01; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 12; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 6; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 0;
SELF EMPLOYED INSURANCE AGENT; ROCK W ALLEN INSURANCE SALES; 2714 BONNEVILLE TER, OGDEN, UT, USA, 84403; INSURANCE AGENT, SALES AND MARKETING OF INSURANCE PRODUCTS; SELF EMPLOYED; INSURANCE SALES; 2019-04-15; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 8; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 4; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 10;
CRS (Client Relationship Summary) - RIA
Click below to view Rock Winchester Allen Sr'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®
NoneExperience
Current
January 21, 2020 - Present
TENCAP WEALTH COACHING
Office #1: 1314 West 11400 South Suite 201, South Jordan, UT 84095RIA
CRD#: 166130
SOUTH JORDAN, UT
Past
July 20, 2015 - December 31, 2019
EVIDENT WEALTH
RIA
CRD#: 226630
OGDEN, UT
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".
TW
TENCAP WEALTH COACHING
TENCAP WEALTH COACHING | TENCAP, LLC | TENCAP WEALTH COACHING, LLC
CRD#: 166130 / SEC#: 801-130427
RIA
Registered Investment Advisory firm - (6/10/2024 Approved)Colorado
Registered Investment Advisory firm - (6/17/2024 Terminated)Idaho
Registered Investment Advisory firm - (6/25/2024 Terminated)Louisiana
Registered Investment Advisory firm - (6/13/2024 Terminated)Minnesota
Registered Investment Advisory firm - (6/13/2024 Terminated)North Carolina
Registered Investment Advisory firm - (6/14/2024 Terminated)North Dakota
Registered Investment Advisory firm - (6/13/2024 Terminated)Texas
Registered Investment Advisory firm - (6/13/2024 Terminated)Utah
Registered Investment Advisory firm - (6/13/2024 Terminated)Washington
Registered Investment Advisory firm - (7/17/2024 Terminated)Wyoming
Registered Investment Advisory firm - (6/13/2024 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
Utah(1/21/2020)
Current Firm
TW
TENCAP WEALTH COACHING
TENCAP WEALTH COACHING | TENCAP, LLC | TENCAP WEALTH COACHING, LLC
CRD#: 166130 / SEC#: 801-130427
RIA
Registered Investment Advisory firm - (6/10/2024 Approved)Colorado
Registered Investment Advisory firm - (6/17/2024 Terminated)Idaho
Registered Investment Advisory firm - (6/25/2024 Terminated)Louisiana
Registered Investment Advisory firm - (6/13/2024 Terminated)Minnesota
Registered Investment Advisory firm - (6/13/2024 Terminated)North Carolina
Registered Investment Advisory firm - (6/14/2024 Terminated)North Dakota
Registered Investment Advisory firm - (6/13/2024 Terminated)Texas
Registered Investment Advisory firm - (6/13/2024 Terminated)Utah
Registered Investment Advisory firm - (6/13/2024 Terminated)Washington
Registered Investment Advisory firm - (7/17/2024 Terminated)Wyoming
Registered Investment Advisory firm - (6/13/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1314 West 11400 South Suite 201, South Jordan, UT 84095
Mailing Address
Phone number
(801) 221-2956
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,025 |
| AUM (Assets Under Management) | $ 117,197,434 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
