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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Dogger is a registered investment advisor with UBS Financial Services Inc. based in Dallas, TX. Allen has been in the industry since 1974 and specializes in a range of financial planning and investment services. Allen holds licenses in a number of states and has passed several exams, including the Series 7TO, SIE, Series 5, PC, and Series 1. Allen has also earned the Certified Financial Planner designation. Allen's prior experience includes work at INA Security Corporation, Paine, Webber, Jackson & Curtis Incorporated and Blyth Eastman Dillon & Co. Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
08/23/1983 - Present
UBS Financial Services Inc. (DALLAS TX)
NA
11/08/1974 - 01/14/1983
INA SECURITY CORPORATION
NA
01/02/1980 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
03/27/1974 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
IA
Issued 08/20/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/28/1977
PC - AMEX Put and Call Exam
BC
Issued 03/26/1974
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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