Joseph Allen (CRD# 7052252) is an Investment Advisor Representative working at Lane Brothers Investment Counsel in Prescott, AZ and has over 5 years of experience in the finance industry. Joseph Allen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 4348493
Commonwealth Financial Network
CRD# 4881991
Yavapai Financial Planning, LLC
CRD# 3185060
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Cwm, LLC | Omaha, NE | Mar 2022 - Current | 2 |
| Lane Brothers Investment Counsel | Prescott, AZ | Mar 2022 - Current | 2 |
| Cetera Advisor Networks | El Segundo, CA | Mar 2022 - Dec 2022 | < 1 |
| Edward Jones | St Louis, MO | Dec 2018 - Mar 2022 | 3 |
| Wells Fargo | Chandler, AZ | Jul 2007 - Dec 2018 | 11 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Feb 2019 |
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- AZ
- CA
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Total Assets Under Management14MILLIONS
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Total Number of Accounts8ACCOUNTS
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Average Account Value$1,737,931
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)
AZ, CA
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