Philip H. Allen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Philip Henry Allen IV, who also goes by Philip Henry Allen IV, Philip Henry Allen Iv, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2019. Philip had worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2025 - August 1, 2025
CADARET, GRANT & CO., INC.
August 22, 2024 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
September 23, 2021 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
August 24, 2021 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
August 24, 2021 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
August 23, 2021 - August 1, 2025
SCF SECURITIES, INC.
January 27, 2021 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
April 20, 2019 - August 1, 2025
CADARET, GRANT & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/19/2019
General Securities Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
