Bruce AllenCRD Number: 4590694
Current Firm: Next Financial Group, Inc.
Bruce Allen (CRD# 4590694) is an Investment Advisor Representative working at Next Financial Group, Inc. in Park City, UT and has over 14 years of experience in the finance industry.
Uma Financial Services Inc.
|Next Financial Group Inc.||Park City, UT||Jan 2008 - Current||9|
|Sammons Securities Company, LLC||Ann Arbor, MI||Sep 2003 - Jan 2008||4|
|Spc||Ann Arbor, MI||Sep 2003 - Jan 2008||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2002|
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,564MILLIONS
Total Number of Accounts8,116ACCOUNTS
Average Account Value$192,726
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV