Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Jones is a financial advisor who has been in the industry since 1996. Allen is currently registered with Raymond James & Associates, Inc. and has been with them since November 2017. Before Raymond James & Associates, Inc., Allen worked at UBS Financial Services Inc. from November 2008 to November 2017 and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated from April 1996 to November 2008. Allen holds multiple licenses, including Series 63, 65, 7 and 31.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
01/08/2018 - Present
Raymond James & Associates, Inc. (Winter Park FL)
FL
11/12/2008 - 12/11/2017
UBS FINANCIAL SERVICES INC. (ORLANDO FL)
FL
04/12/1996 - 11/14/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ORLANDO FL)
IA
Issued 07/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 04/11/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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