DA
CFP
DA
CFP
Douglas Allen is a CFP-designated registered investment advisor, based in Grinnell, IA, with 39 years of industry experience.
Location
801 4th Ave, Grinnell, IA, 50112
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2016Denied
Other Business ActivitiesSells Insurance
Douglas is involved in several business activities, including agriculture, real estate, a DBA called Allen Financial, and a sport/fitness/gaming business. He also works full-time as an advisory representative of a registered investment advisor (RIA) and spends minimal time as an insurance agent.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
January 2023 - Present · 3 yrs 4 mos
Cambridge Investment Research, INC.Broker
January 2023 - Present · 3 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLCBroker
February 2022 - December 2022 · 10 mos
Cetera Advisor Networks LLC
February 2022 - December 2022 · 10 mos
Cambridge Investment Research, INC.Broker
September 2017 - March 2022 · 4 yrs 6 mos
Cambridge Investment Research Advisors, INC.
September 2017 - March 2022 · 4 yrs 6 mos
Investment Centers of America, INC.
July 2012 - September 2017 · 5 yrs 2 mos
Investment Centers of America, INC.Broker
July 2012 - September 2017 · 5 yrs 2 mos
LPL Financial LLC
February 2002 - July 2012 · 10 yrs 5 mos
LPL Financial LLCBroker
February 2002 - July 2012 · 10 yrs 5 mos
Raymond James & Associates, INC.Broker
March 1999 - March 2002 · 3 yrs
Raymond James & Associates, INC.Broker
February 1999 - March 1999 · 1 mo
Brenton Investments, INC.Broker
April 1992 - March 1999 · 6 yrs 11 mos
Northern Trust Securities, INC.Broker
February 1991 - May 1992 · 1 yr 3 mos
Painewebber IncorporatedBroker
April 1986 - January 1991 · 4 yrs 9 mos
State Registrations7 states
AZCOIAMONETXWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.