Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Braunbeck is a financial advisor in Scottsdale, Arizona with over 20 years of experience in the financial services industry. Allen is currently registered with Morgan Stanley and has previously been registered with E*TRADE Securities LLC, TD Ameritrade, Inc., Scottrade, Inc., Chase Investment Services Corp., USAA Investment Management Company, and Charles Schwab & Co., Inc. Allen holds licenses for securities and investment advisory services. Allen is a registered representative and investment advisor representative for Morgan Stanley.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AZ
10/02/2023 - Present
Wealthpenn.comllc (Gilbert AZ)
AZ
05/24/2021 - 09/05/2023
E*TRADE SECURITIES LLC (Gilbert AZ)
AZ
02/26/2018 - 01/11/2021
TD AMERITRADE, INC. (PHOENIX AZ)
AZ
11/14/2007 - 02/26/2018
SCOTTRADE, INC. (PHOENIX AZ)
AZ
04/17/2007 - 11/12/2007
CHASE INVESTMENT SERVICES CORP. (PEORIA AZ)
AZ
08/07/2006 - 02/14/2007
USAA INVESTMENT MANAGEMENT COMPANY (PHOENIX AZ)
AZ
06/23/2006 - 07/20/2006
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
TX
06/24/1998 - 04/27/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 8/5/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/24/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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