Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Sherman Allen has been in the financial industry since January 1993 and has held various roles in the industry. Thomas is currently registered with Avantax Advisory Services and provides financial planning and investment management services. Thomas has held previous registrations with H.D. VEST INVESTMENT SECURITIES, INC. and WADDELL & REED, INC. Thomas holds licenses in various states for both securities and investment advisory services. In addition to the financial services provided by Avantax Advisory Services, Thomas also participates in other business activities that involve equity-indexed annuities.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
TX
01/04/2010 - Present
Avantax Advisory Services (Temple TX)
NA
02/01/1994 - 11/17/1997
H.D. VEST INVESTMENT SECURITIES, INC.
KS
01/12/1990 - 01/18/1991
WADDELL & REED, INC. (OVERLAND PARK KS)
IA
Issued 03/04/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2004
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/08/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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