Ronald Allen

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 07/1980 → Present
  Self Employed
  Mobile, AL
• 08/1990 → 07/2025
  Cadaret, Grant & Co., Inc.
  Mobile, AL
• 07/2025 → Present
  Lpl Financial Llc
  Mobile, AL

Previous Registrations

• 2018-03-12 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Mobile, AL
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
  Syracuse, NY
• 1992-12-29 → 2006-12-31
  Bts Asset Management, Inc.
  Mobile, AL

Other Businesses

1. 07/10/2025- 251 Capital LLC- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 05/03/2023- 4 Hours Per Month- 4 Hours During Trading 2. 07/10/2025- Cherry Pointe Properties LLC- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)-Start date 10/01/2013- 8 Hours Per Month- 6 Hours During Trading 3. 07/10/2025- Ronald Allen- Notary- INV Related- At Reported Business Location(s)- Start date 12/17/2020 4. 07/10/2025-Horace Ronald Allen-Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 03/01/1976- 3 Hours Per Month- 3 Hours During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1984-05-11

Designations

• Certified Financial Planner

Other Names

• Horace Ronald Allen