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980 Highway 105, Boone, NC 28607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2015-03-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Boone | NC | 08/2014 | Present |
| Empire Distributors | Mills River | NC | 09/2018 | 03/2022 |
| Allen Wealth Management | Boone | NC | 09/2014 | Present |
(1) Name of Business: Watauga Humane Society Address: 312 Paws Way, Boone, NC, 28607, United States Activity Type: Non-profit Position/Title: Committee Member Investment Related: Yes Start Date: 04/20/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: monthly meeting where i provide comments, opinion and feedback to other members regarding current holdings and general market info along with their current non-RJ financial advisor. i have no signatory or investment authority. (2) Name of Business: Watauga Humane Society Address: 980 Highway 105, Boone, NC, 28607-4603, United States Activity Type: Non-profit Position/Title: Committee Member Investment Related: Yes Start Date: 04/20/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Provide commentary and opinion during monthly meeting for investment committee. i have no signing authority and no investing authority as accounts are held away at another firm. (3)Name of Business: Allen Wealth Management Address: 980 Highway 105, Boone, NC, 28607, United States Activity Type: Independent RIA Position/Title: Associate/Employee Investment Related: Yes Start Date: 09/01/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-19 |
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