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Roger John Allen

Pathway Wealth Management, LLC

Dallas, TX

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Current Employers
Pathway Wealth Management, Llc

3100 Monticello Avenue, Suite 130, Dallas, TX 75205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-05-23
  • TX RA
    APPROVED
    Since 2016-05-23

Branch Locations

3100 Monticello Avenue, Suite 130, Dallas, TX 75205 • 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
Roger J Allen Attorney At Law Dallas TX 05/2006 Present
Pathway Wealth Management, Llc Dallas TX 04/2016 Present
Previous Registrations
  • 2016-04-22 → 2016-06-02
    Hancock-Smith, Llc
    Dallas, TX
Other Businesses

Self employed as an attorney

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-04-15
  • S65 Uniform Investment Adviser Law Examination
    2016-04-15

View on SEC IAPD

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