Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Austin Allen is a registered representative and investment advisor representative, active in the industry since March 14, 1996. William Austin Allen has passed the Series 63, Series 65, Series 7 and SIE exams. William Austin Allen has been registered with Calton & Associates, Inc. since August 26, 2024. Prior to that, William Austin Allen was registered with LPL FINANCIAL LLC. William Austin Allen has been a registered representative in Arizona, California, Florida, Georgia, Iowa, Louisiana, Mississippi, New Jersey, and North Carolina.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
FL
08/26/2024 - Present
Calton & Associates, Inc. (Ocala FL)
FL
02/14/2018 - 08/29/2024
LPL FINANCIAL LLC (PANAMA CITY FL)
FL
04/12/2013 - 02/14/2018
INVEST FINANCIAL CORPORATION (PANAMA CITY FL)
FL
08/06/2007 - 04/12/2013
GENEOS WEALTH MANAGEMENT, INC. (PANAMA CITY FL)
FL
02/12/2002 - 08/07/2007
CUNA BROKERAGE SERVICES, INC. (LINN HAVEN FL)
NC
05/10/2000 - 12/03/2001
CAPITAL INVESTMENT GROUP, INC. (RALEIGH NC)
NC
08/19/1997 - 05/08/2000
UVEST INVESTMENT SERVICES (CHARLOTTE NC)
NY
01/04/1996 - 08/22/1997
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 01/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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