Nathan D. Allen
Professional summary
Nathan David Allen, who also goes by Nathan David Allen, Nathan Allen, Nate Allen, is a registered financial advisor currently at 49 FINANCIAL located in Charlotte, North Carolina.
Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nathan has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nathan David Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 17, 2024 - Present
49 FINANCIAL
Office #1: 1213 W Morehead St Suite 508, Charlotte, NC 28208July 29, 2024 - December 16, 2024
OAKWOOD CAPITAL SECURITIES, INC.
June 30, 2022 - January 9, 2024
PURSHE KAPLAN STERLING INVESTMENTS
Primary Firm SEC Registration
49 FINANCIAL
CRD#: 319484 / SEC#: 801-123687
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/17/2024)
Exams
Series 6TO
Date: 6/30/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
49 FINANCIAL
CRD#: 319484 / SEC#: 801-123687
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,989 |
| AUM (Assets Under Management) | $ 871,379,407 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
Red Flags
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