Walter Allen is a registered investment advisor, based in Santa Fe, NM, with 41 years of industry experience.
Location
Santa Fe, NM
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Walter is an Investment Advisor Representative with Kestra Advisory Services, LLC, spending about a quarter of his time there. He is also a sole proprietor of Wally Allen Wealth Management, where he conducts registered rep activities, insurance sales, and investment advisory services, dedicating full-time hours to this endeavor.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
Kestra Advisory Services, LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Investment Perspectives Securities, LTD.Broker
U.S. Securities, INC.Broker
Seco West LimitedBroker
Shearson Lehman Brothers INC.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.