Joseph M. Allen

LANE BROTHERS INVESTMENT COUNSEL

Prescott, AZ 86303

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CRD#: 7052252

Professional summary

Joseph Michael Allen, who also goes by Joe M Allen, Joseph M Allen, is a registered financial advisor currently at LANE BROTHERS INVESTMENT COUNSEL 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 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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

February 27, 2024 - Present

LANE BROTHERS INVESTMENT COUNSEL

Office #1: 1560 Plaza West Drive, Prescott, AZ 86303

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

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

CRD#: 250

PRESCOTT VALLEY, AZ

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".

LANE BROTHERS INVESTMENT COUNSEL

LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL

CRD#: 105968 / SEC#: 801-130414

RIA

Registered Investment Advisory firm - (8/23/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/12/2024 Terminated)

California

Registered Investment Advisory firm - (12/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(3/4/2024)

IAR

Texas
(8/24/2024)

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 66

Date: 2/19/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/28/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/4/2019

Securities Industry Essentials Examination

Current Firm

LANE BROTHERS INVESTMENT COUNSEL

LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL

CRD#: 105968 / SEC#: 801-130414

RIA

Registered Investment Advisory firm - (8/23/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/12/2024 Terminated)

California

Registered Investment Advisory firm - (12/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2020 Terminated)

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Contact information

Main Address

1560 Plaza West Drive, Prescott, AZ 86303

Mailing Address

Phone number

(928) 776-8870

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (9/10/2025)

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 192,562,450

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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Firm Stability Insights

Joseph M. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CWM, LLC

CETERA WEALTH SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

LANE BROTHERS INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2019

Series 7TO

Date: 1/28/2019

SIE

Date: 1/4/2019

Current Firm

LANE BROTHERS INVESTMENT COUNSEL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANE BROTHERS INVESTMENT COUNSEL

TRUST BUT VERIFY

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