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WA

William C. Allen

KPP ADVISORY SERVICES LLC
Lexington, KY 40513
Some features on this profile are disabled
CRD#: 7982041
WA

Professional summary

William Charles Allen II, who also goes by William Allen, Beau Allen, William Charles Allen, is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Lexington, Kentucky and LPL FINANCIAL LLC located in Lexington, Kentucky.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2026. William has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William Allen | Beau Allen | William Charles 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Charles Allen II'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 4, 2026 - Present

KPP ADVISORY SERVICES LLC

Office #1: 1030 Monarch Street Ste 350, Lexington, KY 40513
RIA
CRD#: 289507
Lexington, KY
Current

January 9, 2026 - Present

LPL FINANCIAL LLC

Office #1: 1030 Monarch St Ste 350, Lexington, KY 40513
RIA
BD
CRD#: 6413
LEXINGTON, KY

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".
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA
Registered Investment Advisory firm - (9/15/2017 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kentucky
(1/12/2026)
IAR
Kentucky
(2/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/11/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA
Registered Investment Advisory firm - (9/15/2017 Approved)
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Contact information

Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
Mailing Address
Phone number
(502) 394-0400
Established
Firm type
Fiscal year end
# of Employees
35

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A KPP ADVISORY SERVICES LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts3,405
AUM (Assets Under Management)$ 874,251,636

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

KPP ADVISORY SERVICES LLC

CRD#: 289507Lexington, KY 40513

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