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Edmund Brian Allen

Other Names: Brian Allen
Firm:
Waddell & Reed, Inc.
Type: Dual Registration
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Description

Edmund Allen a financial professional at Waddell & Reed, Inc., a broker-dealer with over 2,300 registered representatives nationwide. Edmund has held an industry securities registration for 25 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Edmund Brian Allen has not answered any questions on Financial Q&A.

Top Guides

Edmund Brian Allen has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
M2 Automation 2 years Mar 2009 - Mar 2011
Various Insurance Carriers for W & R Insurance Agencies 12 years, 6 months Nov 2000 - Present
Mary Kim Allen/Brian Allen/Mba Group 18 years, 9 months Sep 1994 - Present
Collister United Methodist Church 19 years, 4 months Jan 1994 - Present
Waddell & Reed, Inc. 29 years, 9 months Sep 1983 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/06/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
07/06/2011
06/06/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 10/18/2002
General Securities Principal Examination Series 24 10/27/1994
General Securities Representative Examination Series 7 03/21/1987
Direct Participation Programs Representative Examination Series 22 09/21/1984
Uniform Securities Agent State Law Examination Series 63 12/05/1983
Investment Company Products/Variable Contracts Representative Examination Series 6 12/05/1983

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Other: VARIABLE FEES