William Allen is a registered investment advisor, based in Charlotte, NC, with 24 years of industry experience.
Location
2820 Selwyn Ave, Ste 525, Charlotte, NC, 28209
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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 →Employment History
Current Registrations
Cary Street PartnersBroker
September 2015 - Present · 10 yrs 10 mos
Cary Street Partners
May 2015 - Present · 11 yrs 2 mos
Previous Registrations
Ancora Wealth Management LLC
March 2012 - May 2015 · 3 yrs 2 mos
Investment Professionals, INC.Broker
January 2011 - March 2012 · 1 yr 2 mos
Investment Professionals, INC.
January 2011 - March 2012 · 1 yr 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - January 2011 · 1 yr 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - January 2011 · 1 yr 7 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
June 2004 - April 2007 · 2 yrs 10 mos
Morgan Stanley Dw INC.Broker
January 2004 - April 2007 · 3 yrs 3 mos
Carolinas Investment Consulting LLCBroker
August 2001 - November 2003 · 2 yrs 3 mos
State Registrations11 states
CAGAILMAMSNCNYPASCTNVA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.