Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid L Allen is a financial professional with over 40 years of experience in the industry. David is currently registered with Raymond James & Associates, Inc., where David is a Registered Representative. Previously, David was affiliated with firms such as KESTRA INVESTMENT SERVICES, LLC, LPL FINANCIAL LLC, SPIRE SECURITIES, LLC, MORGAN STANLEY SMITH BARNEY and MORGAN STANLEY & CO. INCORPORATED. David holds licenses including Series 3, 7, 9, 10, 15, 31, 63, 65 and SIE. David's professional designations include and David specializes in Investment Advisory Services, Portfolio Management, Financial Planning, Retirement Planning, Education Planning, and Estate Planning.
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
CA
11/21/2022 - Present
Raymond James & Associates, Inc. (ROLLING HILLS ESTATES CA)
CA
02/28/2014 - 03/17/2017
KESTRA INVESTMENT SERVICES, LLC (SAN DIEGO CA)
CA
09/28/2012 - 03/07/2014
LPL FINANCIAL LLC (SAN DIEGO CA)
CA
11/25/2011 - 09/28/2012
SPIRE SECURITIES, LLC (SAN DIEGO CA)
CA
06/01/2009 - 12/08/2011
MORGAN STANLEY SMITH BARNEY (RANCHO SANTE FE CA)
CA
04/04/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RANCHO SANTE FE CA)
AZ
08/19/2005 - 04/10/2008
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (ORO VALLEY AZ)
NY
01/20/2000 - 08/24/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/25/1994 - 10/07/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 07/27/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/03/1982 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
05/18/1981 - 04/05/1982
DEAN WITTER REYNOLDS INC.
BC
Issued 12/22/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/03/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/19/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/14/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/02/2022
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 02/14/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 02/06/1995
Series 5 - Interest Rate Options Examination
BC
Issued 04/04/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1981
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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