JA
Joshua R. Allen
THE FOUNDRY FINANCIAL GROUP
Laconia, NH 03246-3300
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CRD#: 6767997
JA
Professional summary
Joshua Roger Allen is a registered financial advisor currently at THE FOUNDRY FINANCIAL GROUP, INC. located in Laconia, New Hampshire.
Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Joshua has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
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.) Living Hope Lakeport ; Our mission is to grow closer to God and to spread the knowledge and love of Christ throughout our community. We are here to make disciples through engaging, establishing, equipping, and evangelizing.; 50 Washington Street, Laconia, NH 03246; Start Date 10/2021; Role/Title: Board Member; Investment Related; 3 hours per month; 0 hours per month during securities trading hours; finance board-treasurer] 2.) Town of Meredith Parks and recreation. Not. Investment related. Board member. Started Oct 2023. Approx 4 hours per month not during trading hours. Volunteer. 3.) Rental apartment. Not investment related. Owner. Rent began Nov 2022. 1-2 hours per month not during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Roger 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®
NoneExperience
Current
February 8, 2024 - Present
THE FOUNDRY FINANCIAL GROUP, INC.
Office #1: 67 Water Street Suite 101, Laconia, NH 03246-3300RIA
CRD#: 116823
Laconia, NH
Past
March 13, 2023 - February 7, 2024
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
MEREDITH, NH
Past
November 28, 2022 - February 7, 2024
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
MEREDITH, NH
Past
February 19, 2021 - November 23, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MANCHESTER, NH
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".
THE FOUNDRY FINANCIAL GROUP, INC.
THE FOUNDRY FINANCIAL GROUP, INC.
CRD#: 116823 / SEC#: 801-129329
RIA
Registered Investment Advisory firm - (1/10/2024 Approved)Massachusetts
Registered Investment Advisory firm - (1/12/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (1/10/2024 Terminated)New Jersey
Registered Investment Advisory firm - (11/17/2021 Terminated)Texas
Registered Investment Advisory firm - (1/12/2024 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
New Hampshire(2/8/2024)
IAR
Texas(11/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/19/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
THE FOUNDRY FINANCIAL GROUP, INC.
THE FOUNDRY FINANCIAL GROUP, INC.
CRD#: 116823 / SEC#: 801-129329
RIA
Registered Investment Advisory firm - (1/10/2024 Approved)Massachusetts
Registered Investment Advisory firm - (1/12/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (1/10/2024 Terminated)New Jersey
Registered Investment Advisory firm - (11/17/2021 Terminated)Texas
Registered Investment Advisory firm - (1/12/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
67 Water Street Suite 101, Laconia, NH 03246-3300
Mailing Address
Phone number
(603) 528-5171
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,009 |
| AUM (Assets Under Management) | $ 207,895,358 |
Red Flags
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Company Information
THE FOUNDRY FINANCIAL GROUP, INC.
CRD#: 116823Laconia, NH 03246-3300TRUST BUT VERIFY
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