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EA

Eric J. Allen

ALLEN CAPITAL GROUP
GRAND ISLAND, NE 68801
Some features on this profile are disabled
CRD#: 808930
EA

Professional summary

Eric Jerome Allen, CFP®, who also goes by E J Allen, Rick Allen, is a registered financial advisor currently at ALLEN CAPITAL GROUP, LLC located in Grand Island, Nebraska.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Eric has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

E J Allen | Rick 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 Eric Jerome 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®
CFP®

Certified Financial Planner

Experience

Current

July 29, 2005 - Present

ALLEN CAPITAL GROUP, LLC

Office #1: 3032 West Stolley Park Road Suite E, Grand Island, NE 68801
RIA
CRD#: 135879
GRAND ISLAND, NE
Past

July 29, 2005 - December 31, 2013

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
GRAND ISLAND, NE
Past

December 31, 1997 - August 2, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
GRAND ISLAND, NE
Past

June 18, 1975 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

June 18, 1975 - August 2, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 18, 1975 - August 2, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
AC
ALLEN CAPITAL GROUP, LLC
ALLEN CAPITAL GROUP, LLC

CRD#: 135879 / SEC#: 801-64514

RIA
Registered Investment Advisory firm - (7/15/2005 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.

Highlighted states indicate IAR registrations

IAR
Nebraska
(8/8/2005)
IAR
Texas
(7/29/2005)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 6/12/1975
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/4/1999
General Securities Principal Examination

Current Firm

AC
ALLEN CAPITAL GROUP, LLC
ALLEN CAPITAL GROUP, LLC

CRD#: 135879 / SEC#: 801-64514

RIA
Registered Investment Advisory firm - (7/15/2005 Approved)
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Contact information

Main Address
3540 Prairieview Street Suite 200, Grand Island, NE 68803
Mailing Address
Phone number
(308) 385-1500
Established
Firm type
Fiscal year end
# of Employees
39

SEC notice filing (21 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

ADV PART 2A (6/11/2025)

Regulatory assets under management

Total Number of Accounts6,558
AUM (Assets Under Management)$ 1,223,235,037

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/03/2025
Cover Page
Report
11/25/2024
Cover Page
Report
11/17/2023
Cover Page
Report
12/16/2022
Cover Page
Report

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 CAPITAL GROUP, LLC

CRD#: 135879Grand Island, NE 68801

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