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Stephen Allen Duck

G. Allen Financial Inc.

Santa Fe, NM

CRD 5294136

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Employer firm

G. Allen Financial Inc. CRD 119180

$101M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
G. Allen Financial Inc.

300 Paseo De Peralta Suite 209, Santa Fe, NM 87501 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
NM RA APPROVED 2015-08-13
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • NM RA
    APPROVED
    Since 2015-08-13

Branch Locations

300 Paseo De Peralta Suite 209, Santa Fe, NM 87501 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
G. Allen Financial, Inc. Los Angeles CA 04/2005 12/2016
G. Allen Financial, Inc. Santa Fe NM 01/2017 Present
Designations
  • Certified Financial Planner
Other Names
  • Stephen Duck

View on SEC IAPD

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