Wendy Mcgowan Allen

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 06/2009 → 07/2019
  Morgan Stanley Smith Barney
  The Woodlands, TX
• 07/2019 → 05/2022
  Oppenheimer & Co Inc
  Houston, TX
• 06/2022 → Present
  Raymond James Financial Services Inc
  The Woodlands, TX
• 06/2022 → Present
  Raymond James Financial Services Advisors
  The Woodlands, TX
• 06/2022 → Present
  Woodforest National Bank
  The Woodlands, TX

Previous Registrations

• 2019-08-01 → 2022-06-03
  Oppenheimer & Co. Inc.
  The Woodlands, TX
• 2009-06-01 → 2019-07-31
  Morgan Stanley
  The Woodlands, TX
  Houston, TX
• 2008-08-29 → 2009-06-01
  Morgan Stanley & Co. Llc
  The Woodlands, TX
• 2005-01-01 → 2008-09-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX

Other Businesses

(1)Name of Business: McGowan Address: 230 Huey P Long Ave, Gretna, LA, 70053, United States Activity Type: Control Person Position/Title: Executor (Acting) Investment Related: Yes Start Date: 10/10/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: 1 of 2 executors for my mother's estate; she passed away on 10/10/2024. (2)Name of Business: Woodforest Wealth Address: 1330 Lake Robbins Dr Ste 150, The Woodlands, TX, 77380-3268, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I am the registered client associate for Andrew "Rudy" Wentzler & Blaine Decker

Exams

• S66 Uniform Combined State Law Examination
  2004-12-20
• S63 Uniform Securities Agent State Law Examination
  1999-10-06

Other Names

• Wendy M Allen