Paula Allen

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2000 → 12/2016
  Greg Sorensen
  San Jose, CA
• 06/2001 → 12/2016
  Wfg
  San Jose, CA
• 01/2012 → 12/2016
  Transamerica Financial Advisors, Inc
  San Jose, CA
• 03/2017 → Present
  Lpl Financial, Llc
  San Jose, CA

Previous Registrations

• 2012-01-06 → 2016-12-31
  Transamerica Financial Advisors, Llc
  San Jose, CA
• 2008-06-20 → 2012-01-06
  Investment Advisors International, Inc.
  San Jose, CA

Other Businesses

1. 03/01/2017 - PAULA ALLEN/ TAX PREP, ACCOUNTING, CPA/ INVESTMENT RELATED / 5%/ DUBLIN, CA 2. 11/09/2018 - SOLUTIONS WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED / 0%/ SAN JOSE, CA 3. 11/12/2025 - Data Entry - Other - data entry for Trusts/Wills - Not Investment Related - Home Based - Start Date 11/03/2025 - 1 hour per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-09
• S63 Uniform Securities Agent State Law Examination
  2004-02-02

Other Names

• Paula Jephson
• Paula Lopez