Carroll AllenCRD Number: 1083578
Current Firm: Janney Montgomery Scott LLC
Carroll Allen (CRD# 1083578) is an Investment Advisor Representative working at Janney Montgomery Scott LLC in Raleigh, NC and has over 35 years of experience in the finance industry.
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|Janney Montgomery Scott LLC||Philadelphia, PA||Jun 2003 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1983|
|S65||NASAA Investment Advisors Law Examination||Jan 2009|
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 Management19,593MILLIONS
Total Number of Accounts60,602ACCOUNTS
Average Account Value$323,312
- A percentage of assets under your management
- 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops