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David Allen
43 Years of Experience
Rolling Hills Estates, CA
1 DisclosureBroker
David Allen is a registered investment advisor at Raymond James & Associates, INC., based in Rolling Hills Estates, CA, with 43 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
608 Silver Spur Road, Suite 380, Rolling Hills Estates, CA, 90274
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 1996Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
December 2022 - Present · 3 yrs 7 mos
Raymond James & Associates, INC.
November 2022 - Present · 3 yrs 8 mos
Previous Registrations
Vivaldi Capital Management LP
November 2020 - November 2022 · 2 yrs
Cornerstone Wealth Management
October 2019 - October 2020 · 1 yr
Nova Financial Services
March 2017 - September 2019 · 2 yrs 6 mos
Kestra Investment Services, LLCBroker
February 2014 - March 2017 · 3 yrs 1 mo
LPL Financial LLCBroker
September 2012 - March 2014 · 1 yr 6 mos
Kestra Private Wealth Services, LLC
November 2011 - April 2017 · 5 yrs 5 mos
Spire Securities, LLCBroker
November 2011 - September 2012 · 10 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley & CO. Incorporated
April 2008 - June 2009 · 1 yr 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2008 - June 2009 · 1 yr 2 mos
Wachovia Securities Financial Network, LLC
September 2005 - April 2008 · 2 yrs 7 mos
Wachovia Securities Financial Network, LLCBroker
August 2005 - April 2008 · 2 yrs 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
December 2003 - August 2005 · 1 yr 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
January 2000 - December 2003 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2000 - August 2005 · 5 yrs 7 mos
Prudential Securities IncorporatedBroker
July 1994 - October 1998 · 4 yrs 3 mos
Smith Barney INC.Broker
July 1993 - July 1994 · 1 yr
Lehman Brothers INC.Broker
April 1988 - July 1993 · 5 yrs 3 mos
E. F. Hutton & Company INCBroker
March 1982 - April 1988 · 6 yrs 1 mo
Dean Witter Reynolds INC.Broker
May 1981 - April 1982 · 11 mos
State Registrations50 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMTNCNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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.