Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Wendell Allen is a registered representative with Stifel, Nicolaus & Company, Inc. Eric has been in the securities industry since September 1987. Eric holds Series 4, 7, 24, 27, 53, 63 and 65 licenses. Eric is also registered in 17 states for both broker-dealer and investment advisor activities. Eric has been affiliated with Stifel, Nicolaus & Company, Inc. since March 2019 and was previously registered with WELLS FARGO CLEARING SERVICES, LLC.
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.
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
WA
05/02/2019 - Present
Stifel, Nicolaus & Company, Inc. (SPOKANE WA)
WA
03/18/2010 - 05/07/2019
WELLS FARGO CLEARING SERVICES, LLC (SPOKANE WA)
WA
10/05/1999 - 03/22/2010
D.A. DAVIDSON & CO. (SPOKANE WA)
WA
12/16/1992 - 01/10/2000
PHELPS & WOODHEAD, INC. (SPOKANE WA)
WA
10/18/1989 - 12/22/1992
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
WA
04/26/1988 - 10/11/1989
HARPER, MCLEAN & COMPANY (SEATTLE WA)
NA
09/24/1987 - 05/05/1988
G.C. GEORGE SECURITIES, INC.
IA
Issued 08/31/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/04/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/14/1997
Series 4 - Registered Options Principal Examination
BC
Issued 03/04/1995
Series 27 - Financial and Operations Principal Examination
BC
Issued 11/05/1994
Series 24 - General Securities Principal Examination
BC
Issued 09/10/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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