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William Allen

Wells Fargo Advisors
23 Years of Experience
Raleigh, NC
1 DisclosureBroker
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William Allen is a registered investment advisor at Wells Fargo Advisors, based in Raleigh, NC, with 23 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC, 27612

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2017
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
October 2013 - Present · 13 yrs
Wells Fargo Advisors
October 2013 - Present · 13 yrs
Previous Registrations
Raymond James & Associates, INC.
February 2013 - November 2013 · 9 mos
Raymond James & Associates, INC.Broker
February 2013 - November 2013 · 9 mos
Morgan Keegan & Company, INC.Broker
April 2010 - February 2013 · 2 yrs 10 mos
Morgan Keegan & Company, INC.
April 2010 - February 2013 · 2 yrs 10 mos
First Citizens Investor Services, INC.
February 2006 - July 2009 · 3 yrs 5 mos
First Citizens Investor Services, INC.Broker
February 2006 - July 2009 · 3 yrs 5 mos
Northwestern Mutual Investment Services,llc
August 2004 - February 2006 · 1 yr 6 mos
Northwestern Mutual Investment Services, LLCBroker
July 2004 - February 2006 · 1 yr 7 mos
Davenport & Company LLCBroker
October 2002 - June 2004 · 1 yr 8 mos
Davenport & Company LLC
October 2002 - June 2004 · 1 yr 8 mos
Morgan Keegan & Company, INC.Broker
December 2001 - July 2002 · 7 mos
State Registrations28 states
AZCACOCTDCDEFLGAILINKSLAMAMDMEMINCNHNJNVNYPARISCTXVAVTWA
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.
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