Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Paul Allen is a financial advisor with Robert W. Baird & Co. Inc.. David Paul Allen has been a registered financial advisor since March 18, 1968. David Paul Allen has experience in providing investment advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. David Paul Allen is registered with the following securities authorities: Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC). David Paul Allen is registered to provide securities advice in Arizona, Arkansas, California, Colorado, Delaware, Florida, Illinois, Indiana, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas, Vermont, Virginia, Washington, and Wisconsin. David Paul Allen is also registered to provide investment advice in Florida, Missouri, and Texas.
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.
See schedule d
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.
Hard dollar payments for research
1
2
MO
05/19/2019 - Present
Robert W. Baird & Co. Inc. (St. Louis MO)
MO
01/03/2003 - 05/24/2019
OPPENHEIMER & CO. INC. (ST. LOUIS MO)
NY
03/03/1993 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
05/09/1989 - 03/16/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/09/1987 - 06/03/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
03/19/1968 - 06/17/1987
R. ROWLAND & CO., INCORPORATED
IA
Issued 09/23/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/28/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/1973
Series 12 - NYSE Branch Manager Examination
BC
Issued 05/12/1973
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1977
PC - AMEX Put and Call Exam
BC
Issued 03/14/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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