Samuel Kent Van Allen

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 11/2005 → 03/2017
  Wachovia Securities, Llc
  New York, NY
• 02/2010 → 03/2017
  Westport Resources Investment Services
  Westport, CT
• 03/2017 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2017 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2017-01-25 → 2017-03-31
  Cfo Capital Management, Llc
  Fairfield, CT
• 2010-02-22 → 2016-12-24
  Westport Resources Management Inc
  Westport, CT
• 2010-04-22 → 2012-05-25
  Cfo Capital Management, Llc
  Fairfield, CT
• 2007-11-29 → 2010-02-16
  Wells Fargo Clearing Services, Llc
  New York, NY

Other Businesses

1.FAIRFIELD PUBLIC SCHOOLS, 785 UNQUOWA RD, FAIRFIELD, CT, 1/2015 AS TEACHER. INV REL - 4/WK - 0/TRADING. 2.HOLLAND SOCIETY OF NEW YORK, 20 W 44TH ST, NEW YORK, NY, 5/2006 AS BRANCH PRESIDENT/INACTIVE TRUSTEE, AS BRANCH PRESIDENT -PLAN SOCIAL ACTIVITIES, NO RESPONSIBILITIES AS INACTIVE TRUSTEE. NIR - 5/MO - 0/TRADING. 3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.

Exams

• S66 Uniform Combined State Law Examination
  2002-07-22