Roger J. Allen

PATHWAY WEALTH MANAGEMENT

Dallas, TX 75205

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CRD#: 6624700

Professional summary

Roger John Allen is a registered financial advisor currently at PATHWAY WEALTH MANAGEMENT, LLC located in Dallas, Texas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Roger has worked at 2 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.

Self employed as an attorney

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger John 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

May 23, 2016 - Present

PATHWAY WEALTH MANAGEMENT, LLC

Office #1: 3100 Monticello Avenue, Suite 130, Dallas, TX 75205

RIA

CRD#: 283774

Dallas, TX

Past

April 22, 2016 - June 2, 2016

HANCOCK-SMITH, LLC

RIA

CRD#: 111215

DALLAS, 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
(5/23/2016)

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 65

Date: 4/15/2016

Uniform Investment Adviser Law Examination

Current Firm

PATHWAY WEALTH MANAGEMENT, LLC

CRD#: 283774 / SEC#:

Texas

Registered Investment Advisory firm - (5/23/2016 Approved)

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Contact information

Main Address

3100 Monticello Avenue, Suite 130, Dallas, TX 75205

Mailing Address

Phone number

(972) 863-7671

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 85,023,293

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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Roger J. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger John Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHWAY WEALTH MANAGEMENT, LLC

HANCOCK-SMITH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/15/2016

Current Firm

PATHWAY WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATHWAY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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