Theresa Allen
Theresa Allen is a registered investment advisor at RBC Capital Markets, LLC, based in Newport Beach, CA, with 33 years of industry experience. Theresa operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
610 Newport Center Drive, Suite 900, Newport Beach, CA, 92660-6448
Get directionsHistory
Regulatory History (9)
Customer Dispute
January 2026Customer Dispute
April 2024Customer Dispute
January 2024Customer Dispute
January 2024Customer Dispute
August 2023Customer Dispute
August 2023Customer Dispute
May 2023Customer Dispute
May 2023Customer Dispute
April 2023Other Business Activities
Theresa is the Board Chair and Governance Committee Member for The Wooden Floor, a youth development non-profit organization, and the Treasurer for Shaw's Cove Yacht Club. These activities require minimal time each month and are not investment-related.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
First Republic Securities Company, LLCBroker
First Republic Investment Management, INC.
Unionbanc Investment Services, LLC
Unionbanc Investment Services, LLCBroker
Bisys Brokerage Services, INC.Broker
Laughlin Group Advisors, INC.Broker
Marketing One Securities, INC.Broker
Invest Financial CorporationBroker
State Registrations24 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.