MA
Michael D. Allen
GREAT VALLEY ADVISOR GROUP
Harian, IA 51537
Some features on this profile are disabled
CRD#: 873728
MA
Professional summary
Michael Dale Allen, who also goes by Michael D Allen, Mick Allen, is a registered financial advisor currently at GREAT VALLEY ADVISOR GROUP, LLC located in Harian, Iowa and LPL FINANCIAL LLC located in Harlan, Iowa.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael D Allen | Mick 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.
1-01/24/2025 / Insurance Sales / Non-Variable Insurance / Inv Rltd / At reported business location(s) /1 hrs mnth / 1 hr during trading / start 12/24/2024 2- 01/24/2025 / MDA Financial, Inc / Business Entity For Tax/Investment Purposes Only / Non Inv Rltd / start 01/01/2013 - 0hrs/mnth 5hrs during Trading 3) 02/03/2025 - Great Valley Advisor Group, Inc.- Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:12/23/2024 - 160 Hrs/Mth - 7 Hrs During Trading.I provide investment advisory services to Great Valley Advisor Group, Inc, an independent investment advisor firm. I started this business activity in 2/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 10/08/2025 - MDA Financial - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Inv rel - Start date: 9/2/2025 - 5 hrs/mnth 0hrsduring Trading 5. 10/08/2025 - mda wealth management - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Inv rel - Start date: 9/2/2025 - 140 hrs/mnth 140 hrsduring Trading
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dale Allen'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®
NoneExperience
Current
February 6, 2025 - Present
GREAT VALLEY ADVISOR GROUP, LLC
Office #1: 524 Market Street, Suite 102, Harian, IA 51537Office #2: 106 E 7th Street, Atlantic, IA 50022RIA
CRD#: 123913
Harian, IA
Current
January 24, 2025 - Present
LPL FINANCIAL LLC
Office #1: 524 Market St Ste 102, Harlan, IA 51537RIA
BD
CRD#: 6413
HARLAN, IA
Past
December 17, 2020 - January 29, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Harlan, IA
Past
December 17, 2020 - January 29, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Atlantic, IA
Past
April 3, 2017 - January 12, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
ATLANTIC, IA
Past
August 20, 2012 - January 12, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ATLANTIC, IA
Past
January 1, 2004 - August 17, 2012
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ATLANTIC, IA
Past
August 2, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
October 20, 1998 - August 1, 2002
SMITH HAYES FINANCIAL SERVICES CORPORATION
BD
CRD#: 17059
LINCOLN, NE
Past
March 21, 1994 - November 17, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
November 19, 1979 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
November 19, 1979 - March 18, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 19, 1979 - March 18, 1994
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".
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)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
Arizona(3/24/2025)
RR
Colorado(1/31/2025)
RR
District of Columbia(2/10/2025)
RR
Florida(1/27/2025)
RR
Georgia(1/27/2025)
RR
Iowa(1/31/2025)
IAR
Iowa(2/6/2025)
RR
Louisiana(1/31/2025)
RR
Michigan(2/3/2025)
RR
Minnesota(2/3/2025)
RR
Missouri(1/24/2025)
RR
Nebraska(1/30/2025)
RR
Oklahoma(2/3/2025)
RR
South Carolina(2/4/2025)
RR
South Dakota(2/10/2025)
RR
Tennessee(4/29/2025)
RR
Texas(1/24/2025)
RR
Wisconsin(1/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/8/1979
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 Pennsylvania Ave Suite 202, Wilmington, DE 19806
Mailing Address
Phone number
(302) 483-7200
Established
Firm type
Fiscal year end
# of Employees
333
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,099 |
| AUM (Assets Under Management) | $ 9,732,148,499 |
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.
