Samuel Van Allen, financial advisor Norwalk CT
41 score

Samuel Van Allen

CRD Number: 4464706
Current Firm: Cambridge Investment Research Advisors, Inc.

Samuel Van Allen (CRD# 4464706) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Norwalk, CT and has over 15 years of experience in the finance industry. Samuel Van 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.

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Professional Designations
Company Name Location Dates Years
Cambridge Investment Research Advisors, Inc. Fairfield, IA Mar 2017 - Current 1
Cambridge Investment Research, Inc. Fairfield, IA Mar 2017 - Current 1
Westport Resources Investment Services Westport, CT Feb 2010 - Mar 2017 7
Wachovia Securities, LLC New York, NY Nov 2005 - Mar 2017 11
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2002
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, 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:
  • Employer Dispute
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Samuel K. Van Allen
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    28,722
    MILLIONS
  • Total Number of Accounts
    168,526
    ACCOUNTS
  • Average Account Value
    $170,429
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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)
  • Market timing services
  • Educational seminars/workshops
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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BADGES
41

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