Chad AllenCRD Number: 2712784
Current Firm: Oppenheimer & Company Inc.
Chad Allen (CRD# 2712784) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in New York, NY and has over 27 years of experience in the finance industry.
Financial Life Focus, LLC
|Oppenheimer & Company Inc.||New York, NY||Aug 2015 - Current||7|
|Ubs Financial Services Inc.||Uniondale, NY||May 2011 - Jul 2015||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1996|
|S65||NASAA Investment Advisors Law Examination||Nov 2021|
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, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management22,651MILLIONS
Total Number of Accounts32,333ACCOUNTS
Average Account Value$700,552
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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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