Lance Allen

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 05/2014 → 03/2018
  Dws Investments Distributors, Inc
  Chicago, IL
• 06/2018 → 10/2018
  Edward Jones
  Saint Louis, MO
• 10/2018 → 05/2022
  Heritage Bank
  Mukilteo, WA
• 10/2018 → 05/2022
  Cetera Investment Services Llc
  St Cloud, MN
• 10/2018 → 05/2022
  Cetera Investment Advisers Llc
  Mukilteo, WA
• 05/2022 → Present
  Ameriprise Financial Services, Llc
  Deer Park, TX

Previous Registrations

• 2018-10-19 → 2022-05-19
  Cetera Investment Advisers Llc
  Mukilteo, WA
  Bellevue, WA
• 2018-06-18 → 2018-10-10
  Edward Jones
  Kirkland, WA
• 2011-10-12 → 2014-05-08
  First Trust Advisors Lp
  Wheaton, IL

Other Businesses

Business Ownership; French Courtyard; Co-owner; Retail; 27326 Robinson Rd Suite 101, , Oak Ridge North, TX, 77385; Not Investment-Related; 07/31/2026; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Shell Wealth Services; Financial Advisor - Financial advisory practice with Ameriprise Financial Services, LLC; ; 301 E 13th Street, , Deer Park, TX, 77536; Investment-Related; 05/18/2022; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2018-06-16
• S65 Uniform Investment Adviser Law Examination
  2008-01-02
• S63 Uniform Securities Agent State Law Examination
  1998-09-17

Other Names

• Lance Allen
• Lance Lewis Allen