David L Allen

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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

• 02/2014 → 03/2017
  Kestra Private Wealth Services Llc
  San Diego, CA
• 02/2014 → 03/2017
  Kestra Investment Services, Llc
  Austin, TX
• 03/2017 → 08/2019
  Nova Financial & Insurance Services
  Tucson, AZ
• 07/2019 → 09/2020
  Cornerstone Wealth Management
  San Diego, CA
• 10/2020 → 10/2022
  Vivaldi Capital Management, Llc
  San Diego, CA
• 10/2022 → Present
  Raymond James & Associates, Inc.
  Rolling Hills Estates, CA

Previous Registrations

• 2020-11-20 → 2022-11-29
  Debussy Capital Management Lp
  Chicago, IL
  San Diego, CA
• 2019-10-03 → 2020-10-28
  Cornerstone Wealth Management
  San Diego, CA
• 2017-03-16 → 2019-09-03
  Nova Financial Services
  Las Vegas, NV
  Tucson, AZ
• 2011-11-28 → 2017-04-19
  Kestra Private Wealth Services, Llc
  Austin, TX
• 2009-06-01 → 2011-12-08
  Morgan Stanley
  San Diego, CA
  Rancho Sante Fe, CA
• 2008-04-07 → 2009-06-01
  Morgan Stanley & Co. Llc
  San Diego, CA
  San Diego, CA
  Rancho Sante Fe, CA
  San Diego, CA
• 2005-09-08 → 2008-04-10
  Wells Fargo Advisors Financial Network, Llc
  Oro Valley, AZ
• 2000-01-21 → 2005-08-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tucson, AZ

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-12-22
• S65 Uniform Investment Adviser Law Examination
  1993-02-03

Other Names

• David Lynn Allen