Frederick J. Palen

PALEN FINANCIAL LLC

Davenport, IA 52807

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CRD#: 840329

Professional summary

Frederick Joseph Palen, who also goes by Fredrick Joseph Palen, is a registered financial advisor currently at PALEN FINANCIAL LLC located in Davenport, Iowa.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Frederick has worked at 4 firms and has passed the Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fredrick Joseph Palen

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.

1.OUTSIDE INSURANCE SALES 2. 03/02/2009 - PALEN FINANCIAL, DBA 3. 12/18/09 - NON-VARIABLE INSURANCE - GROUP BENEFITS, LTD. - THIS IS BEING ABLE TO OFFER BLUE CROSS BLUE SHIELD HEALTH INSURANCE AND MEDICARE INSURANCE LTC TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Joseph Palen's 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 16, 2010 - Present

PALEN FINANCIAL LLC

Office #1: 4620 East 53rd St Suite 200, Davenport, IA 52807

RIA

CRD#: 144892

Davenport, IA

Past

January 1, 1999 - February 23, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

DAVENPORT, IA

Past

April 29, 1998 - February 23, 2010

LPL FINANCIAL LLC

CRD#: 6413

DAVENPORT, IA

Past

January 24, 1989 - May 20, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 24, 1989 - May 20, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Illinois
(6/11/2010)

IAR

Iowa
(2/16/2010)

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

Series 63

Date: 5/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 7/14/1977

Registered Representative Examination

Current Firm

PALEN FINANCIAL LLC

PALEN FINANCIAL ADVISORS, LLC | PALEN FINANCIAL LLC

CRD#: 144892 / SEC#: 801-70951

RIA

Registered Investment Advisory firm - (3/7/2012 Terminated)

Illinois

Registered Investment Advisory firm - (2/3/2012 Approved)

Iowa

Registered Investment Advisory firm - (3/7/2012 Approved)

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).

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Contact information

Main Address

4620 East 53rd St Suite 200, Davenport, IA 52807

Mailing Address

Phone number

(563) 344-5888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 35,986,228

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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Frederick J. Palen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Joseph Palen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PALEN FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/26/1988

Series 7

Date: 1/21/1989

Series 1

Date: 7/14/1977

Current Firm

PALEN FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PALEN FINANCIAL LLC

TRUST BUT VERIFY

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