David Hopkins Allen

Employer firm

Florida Financial Advisors, LLC CRD 288811

$456M regulatory AUM 4,295 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

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

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

Current Employers

Employment History

• 01/1993 → 11/2016
  Ids Life Insurance Company
  Braintree, MA
• 01/1993 → 11/2016
  American Express Financial Advisors Inc.
  Braintree, MA
• 11/2016 → 12/2020
  Lpl Financial Llc
  Wellesley, MA
• 11/2016 → 12/2020
  Stratos Wealth Partners, Ltd
  Wellesley, MA
• 12/2020 → 04/2021
  Cadaret Grant & Co., Inc.
  Wellesley, MA
• 12/2020 → 04/2021
  Cadaret Grant & Co., Inc.
  Providence, RI
• 05/2021 → 09/2021
  Advisory Group Equity Services, Ltd.
  Woburn, MA
• 11/2022 → 01/2024
  Cadaret, Grant & Co., Inc.
  Wellesley, MA
• 11/2022 → 01/2024
  Cadaret, Grant & Co., Inc.
  Providence, RI
• 10/2021 → 10/2022
  Self-Employed/ Consulting
  Newton, MA
• 08/2024 → Present
  Florida Financial Advisors Dba Providence Financial Advisors
  Tampa, FL
• 01/2024 → 08/2024
  Providence Financial Advisors
  Providence, RI

Previous Registrations

• 2022-12-13 → 2024-01-04
  Cadaret, Grant & Co., Inc.
  Syracuse, NY
  Wellesley, MA
  Providence, RI
• 2020-12-10 → 2020-12-11
  Cadaret, Grant & Co., Inc.
  Providence, RI
  Wellesley, MA
  Syracuse, NY
• 2016-12-01 → 2020-12-10
  Stratos Wealth Partners, Ltd
  Wellesley, MA
  Providence, RI
• 2008-07-23 → 2016-11-25
  Ameriprise Financial Services, Llc
  Wellesley, MA
  Fall River, MA

Other Businesses

1) Notary, State of Massachusetts, 4/2009 to present, not investment related, not compensated, 0 hours per month, 0 hours during trading; 2) Integrity Tax & Business Partners, 28 Washington Street, Wellesley, MA, silent owner since 11/28/16, 0 hours month, 0 during market, not investment related. Florida Financial Advisors (DBA New England Financial Advisors). Investment Related. 1145 Reservoir Ave, Suite 200, Cranston, RI 02920. Nature of Business: RIA. Position: Financial Consultant. Start Date: 01/2024. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities. Florida Financial Insurance, LLC (DBA New England Financial Advisors). Investment-Related. 1145 Reservoir Ave, Suite 200, Cranston, RI 02920. Nature of Business: Insurance. Position: Independent Contractor. 01/2024. 10 hours per month during trading hours (approx.). Insurance producer involved in consumer sales AirBNB Rental. 17 Bridge Street, Providence RI 02903. Not investment related. Nature of business: Rentals. Position: Owner. Start: 5/2026. Hours per month: 5. Hours per month trading: 0. Duties: Trial run of renting out my boat on Airbnb. Probably will only rent 8-10 times a year when I am traveling and/or not using it. E-Bike Rental. 559 South Water Street Providence, RI 02903. Not investment related. Nature of business: Rentals. Position: Owner. Start: 4/2026. Hours per month: 20. Hours per month trading: 0. Duties: Rental of e-bikes for people to use the East Bay bike path. Goal would be to be passive and let some college kids run with it. Additionally have 41 guided tours with American Cruise Lines which is going to dock in Providence on Tuesdays and have guest excursions after lunch. Could be 10-20 people each week.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-04-12
• S63 Uniform Securities Agent State Law Examination
  1993-03-17