David Allen, financial advisor Rolling Hills Estates CA

David Allen

CRD Number: 731100
Current Firm: Raymond James & Associates, Inc.

David Allen (CRD# 731100) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Rolling Hills Estates, CA and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James & Associates, Inc. Rolling Hills Estates, CA Oct 2022 - Current 1
Vivaldi Capital Management, LLC San Diego, CA Oct 2020 - Oct 2022 2
Cornerstone Wealth Management San Diego, CA Jul 2019 - Sep 2020 1
Nova Financial & Insurance Services Tucson, AZ Mar 2017 - Aug 2019 2
Kestra Private Wealth Services LLC San Diego, CA Feb 2014 - Mar 2017 3
Kestra Investment Services, LLC Austin, TX Feb 2014 - Mar 2017 3
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Feb 1993
S63 Uniform Securities State Law Examination Dec 2022
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for David L. Allen
Phone Number: 727-567-1000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    350,042
    MILLIONS
  • Total Number of Accounts
    992,551
    ACCOUNTS
  • Average Account Value
    $352,669
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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