Carter M. Allen

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CRD#: 7651106

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.

Carter Martin Allen was a registered financial professional .

Carter is a previously registered financial professional and started their career in finance in 2024. Carter had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 15, 2024 - May 29, 2025

RICHARD BROTHERS, FINANCIAL ADVISORS

RIA

CRD#: 113826

SOUTH PORTLAND, ME

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".

RICHARD BROTHERS, FINANCIAL ADVISORS

ALLEGIANCE CAPITAL, LLC | RICHARD BROTHERS, FINANCIAL ADVISORS | MARLIN ENTERPRISES, LLC | ALLEGIANCE FINANCIAL GROUP, INC.

CRD#: 113826 / SEC#: 801-122718

RIA

Registered Investment Advisory firm - (11/18/2021 Approved)

Maine

Registered Investment Advisory firm - (1/4/2022 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/11/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 2/15/2024

Uniform Investment Adviser Law Examination

Current Firm

RICHARD BROTHERS, FINANCIAL ADVISORS

ALLEGIANCE CAPITAL, LLC | RICHARD BROTHERS, FINANCIAL ADVISORS | MARLIN ENTERPRISES, LLC | ALLEGIANCE FINANCIAL GROUP, INC.

CRD#: 113826 / SEC#: 801-122718

RIA

Registered Investment Advisory firm - (11/18/2021 Approved)

Maine

Registered Investment Advisory firm - (1/4/2022 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/11/2022 Terminated)

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Contact information

Main Address

50 Donald B. Dean Drive Suite One, South Portland, ME 04106

Mailing Address

Phone number

(207) 879-2352

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 145,936,579

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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Carter M. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RICHARD BROTHERS, FINANCIAL ADVISORS

Primary Firm SEC Registration

RICHARD BROTHERS, FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2024

Current Firm

RICHARD BROTHERS, FINANCIAL ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD BROTHERS, FINANCIAL ADVISORS

TRUST BUT VERIFY

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