Thomas Allen is a registered investment advisor, based in Temple, TX, with 33 years of industry experience.
Location
Temple, TX
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Regulatory History
Clean regulatory record
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
Thomas is involved in the sales of equity indexed annuities through Avantax Insurance Agency and/or Avantax Insurance Services. This activity requires minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2025 - Present · 8 mos
Cetera Wealth Services, LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
Avantax Advisory Services
September 2001 - September 2025 · 24 yrs
Avantax Investment Services, INC.Broker
November 1997 - September 2025 · 27 yrs 10 mos
H.D. Vest Investment Securities, INC.Broker
February 1994 - November 1997 · 3 yrs 9 mos
Waddell & Reed, INC.Broker
January 1990 - January 1991 · 1 yr
State Registrations4 states
CANVTXVirgin Islands
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.