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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 Stafford is a financial advisor with Morgan Stanley, a well-known financial services firm. Allen has been in the financial industry since 1979 and has a deep understanding of the financial markets. Allen holds various professional licenses including the Series 7, 63, 65, 9, and 10. Allen has held positions at numerous firms during his career including Legg Mason Wood Walker, Incorporated, and Salomon Smith Barney Inc. Allen is currently registered with the state of North Carolina and Texas. Allen offers financial advice to clients who are individuals, high-net-worth individuals, and institutions, and has experience providing financial planning and investment management services.
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
NC
01/31/2025 - Present
Morgan Stanley (Charlotte NC)
NC
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHARLOTTE NC)
NC
02/08/2006 - 04/02/2007
MORGAN STANLEY DW INC. (CHARLOTTE NC)
MD
01/21/2000 - 02/14/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
01/02/1979 - 01/26/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 04/28/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/03/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2007
Series 3 - National Commodity Futures Examination
BC
Issued 12/16/1978
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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