Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theresa? Claim Your ProfileTheresa Allen is a financial advisor with RBC Capital Markets, LLC based in Newport Beach, CA. Theresa has been in the financial industry since 1992 and has a wealth of experience in providing financial advice to a diverse clientele. Theresa holds the Series 6, 7 and SIE licenses as well as being registered with the states of Alabama, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Idaho, Kansas, Louisiana, Maryland, Massachusetts, Montana, Nevada, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington and Wyoming. Theresa also has previous experience with First Republic Securities Company, LLC, UnionBanc Investment Services, LLC, BISYS Brokerage Services, Inc., Laughlin Group Advisors, Inc., Marketing One Securities, Inc., and Invest Financial Corporation.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
04/24/2023 - Present
RBC Capital Markets, LLC (NEWPORT BEACH CA)
CA
07/09/2010 - 05/18/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (NEWPORT BEACH CA)
CA
05/22/2000 - 08/06/2010
UNIONBANC INVESTMENT SERVICES, LLC (LAGUNA HILLS CA)
MN
01/02/1998 - 05/31/2000
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
NE
01/31/1996 - 12/31/1997
LAUGHLIN GROUP ADVISORS, INC. (LINCOLN NE)
OR
07/05/1995 - 01/31/1996
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
WI
06/26/1992 - 06/26/1995
INVEST FINANCIAL CORPORATION (APPLETON WI)
BC
Issued 07/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1995
Series 7 - General Securities Representative Examination
BC
Issued 06/25/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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