Chad Ross Allen

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 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

• 02/2016 → 01/2017
  Equity International Bowers & Wilkins
  North Reading, MA
• 03/2017 → 06/2017
  Shenanigans Bar & Grill
  Amherst, NY
• 07/2017 → 11/2017
  Unemployed
  Williamsville, NY
• 11/2017 → 08/2020
  Equitable Advisors, Llc
  New York, NY
• 10/2020 → 09/2021
  Pruco Securities Llc
  Amherst, NY
• 10/2020 → 09/2021
  Prudential Insurance Company Of America
  Amherst, NY
• 08/2020 → 10/2020
  Unemployed
  Amherst, NY
• 10/2021 → 10/2024
  American Portfolios Financial Services
  Niagara Falls, NY
• 12/2023 → Present
  Novem Group
  Rochester, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Niagara Falls, NY

Previous Registrations

• 2021-11-10 → 2024-01-02
  Novem Group
  Niagara Falls, NY
  Rochester, NY
• 2020-11-03 → 2021-10-07
  Pruco Securities, Llc.
  Williamsville, NY
  Syracuse, NY
• 2018-02-20 → 2020-08-27
  Equitable Advisors, Llc
  Williamsville, NY
  Williamsville, NY
  Williamsville, NY

Other Businesses

1) POSITION: Co-Power of Attorney NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/02/2017; ADDRESS: 400 Mill Street, Apt 301, Williamsville NY 14221, United States; DESCRIPTION: With Joy Urquhart maintaining Co-POA privileges, we advise on decision making when concerning personal finances, living arrangements, and health for Victoria Allen 2) ATT Financial - Insurance - agent - 345 Buffalo Ave, Niagara Falls, NY 14303. start 10/2021. 20 hours devoted per month 3) Frequency Group- Admin Mktg/ Niagara falls, NY/ start date 6-22/ Investment related/ 15 hrs mo. not during mkt hours 4) CO-POWER OF ATTORNEY FOR VICTORIA ALLEN POSITION: Co-Power of Attorney NATURE: With Joy Allen (formerly Urquhart) maintaining Co-POA privileges, we advise on decision making when concerning personal finances, living arrangements, and health for Victoria Allen (mother). INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/07/2017 ADDRESS: 400 Mill Street, Apt. 301, Williamsville NY 14221, United States DESCRIPTION: With Joy Allen (formerly Urquhart) maintaining Co-POA privileges, we advise on decision making when concerning personal finances, living arrangements, and health for Victoria Allen (mother). 5) ATT FINANCIAL GROUP, INC. POSITION: General Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2021 ADDRESS: 345 Buffalo Avenue, Niagara Falls NY 14303, United States DESCRIPTION: Provide insurance related services. 6) FREQUENCY GROUP POSITION: Assistant NATURE: Marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2021 ADDRESS: 345 Buffalo Avenue, Niagara Falls NY 14303, United States DESCRIPTION: Assist with marketing efforts for ATT Financial Group, Inc.

Exams

• S66 Uniform Combined State Law Examination
  2018-01-11

Other Names

• Chad Allen