MA
Mitchell W. Allen
KESTRA ADVISORY SERVICES
Orlando, FL 32814
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CRD#: 6847163
MA
Professional summary
Mitchell William Allen is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Orlando, Florida and KESTRA INVESTMENT SERVICES, LLC located in Orlando, Florida.
Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Mitchell has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
(dba) SECURITY FINANCIAL MANAGEMENT; Investment related; 2420 S. Lakemont Avenue, Suite 120, Orlando FL 32814; Financial Services; Investment Advisor (Start 12/2017)/Insurance Agent (Start 04/2018); 20 hours per month; Providing investment advisory services as well as offer variable life and annuity, equity indexed annuity, fixed annuity and life insurance products.// Business Name: SECURITY FINANCIAL MANAGEMENT POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/15/2018 ADDRESS: 2420 S. Lakemont ave, Suite 120, Orlando FL 32814 DESCRIPTION: Providing investment advisory services as well as offer variable life and annuity, equity indexed annuity, fixed annuity and life insurance products. Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: Providing investment advisory services as well as offer variable life and annuity, equity indexed annuity, fixed annuity and life insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell William 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 2, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2420 S. Lakemont Ave Suite 120, Orlando, FL 32814Office #2: 8245 Devereux Drive Suite 103, Melbourne, FL 32940Office #3: 320 High Tide Drive Unit 201b, St. Augustine, FL 32080Office #4: 1950 Ringling Blvd Suite 403, Sarasota, FL 34236RIA
CRD#: 283330
Orlando, FL
Current
January 31, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2420 S. Lakemont Ave Suite 120, Orlando, FL 32814Office #2: 8245 Devereux Drive Suite 103, Melbourne, FL 32940Office #3: 320 High Tide Drive Unit 201b, St. Augustine, FL 32080Office #4: 1950 Ringling Blvd Suite 403, Sarasota, FL 34236BD
CRD#: 42046
Orlando, FL
Past
December 8, 2017 - February 25, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ORLANDO, FL
Past
September 14, 2017 - February 25, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ORLANDO, FL
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/31/2022)
RR
Connecticut(1/31/2022)
RR
Florida(1/31/2022)
IAR
Florida(2/9/2022)
RR
Louisiana(1/22/2025)
RR
Maine(1/10/2025)
RR
New York(9/8/2025)
IAR
Texas(2/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Orlando, FL 32814TRUST BUT VERIFY
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