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JA

Joseph M. Allen

ALLEN FINANCIAL PARTNERS
PRESCOTT, AZ 86301
Some features on this profile are disabled
CRD#: 7052252
JA
Joseph Michael AllenALLEN FINANCIAL PARTNERS

Professional summary

Joseph Michael Allen, who also goes by Joe M Allen, Joseph M Allen, is a registered financial advisor currently at ALLEN FINANCIAL PARTNERS located in Prescott, Arizona.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Joseph has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

Always Fiduciary

Aliases

Joe M Allen | Joseph M 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.
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 04/2019; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Allen's CRS (Customer Relationship Summary).
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

August 3, 2026 - Present

ALLEN FINANCIAL PARTNERS

Office #1: 302 North Virginia St., Prescott, AZ 86301
RIA
CRD#: 342928
PRESCOTT, AZ
Past

February 27, 2024 - July 31, 2026

LANE BROTHERS INVESTMENT COUNSEL

RIA
CRD#: 105968
PRESCOTT, AZ
Past

March 24, 2022 - December 31, 2022

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
PRESCOTT, AZ
Past

March 24, 2022 - April 2, 2024

CWM, LLC

RIA
CRD#: 155344
Prescott, AZ
Past

March 23, 2022 - December 31, 2022

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
PRESCOTT, AZ
Past

March 1, 2019 - March 24, 2022

EDWARD JONES

RIA
CRD#: 250
PRESCOTT VALLEY, AZ
Past

January 28, 2019 - March 24, 2022

EDWARD JONES

BD
CRD#: 250
PRESCOTT VALLEY, AZ

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
(8/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/19/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2019
Securities Industry Essentials Examination

Current Firm

AF
ALLEN FINANCIAL PARTNERS
ALLEN FINANCIAL PARTNERS | JOE ALLEN, LLC

CRD#: 342928 / SEC#: 801-136792

RIA
Registered Investment Advisory firm - (7/20/2026 120-Day Approval)
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Contact information

Main Address
302 North Virginia St., Prescott, AZ 86301
Mailing Address
Phone number
(602) 677-7546
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A (6/19/2026)
0

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.

Company Information

ALLEN FINANCIAL PARTNERS

CRD#: 342928Prescott, AZ 86301

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