Unclaimed Profile

Ralph Carter Allen

ALLEN & COMPANY OF FLORIDA, LLC·LAKELAND, Florida

SIE, Series 1, Series 6619 years registeredALLEN & COMPANY OF FLORIDA, LLC

1401 SOUTH FLORIDA AVE, LAKELAND, FL 33803CRD# 3462Firm CRD# 25

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ralph Carter Allen · LAKELAND, FL

Registration

CRD #3462 · ALLEN & COMPANY OF FLORIDA, LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ALLEN & COMPANY OF FLORIDA, LLC

ALLEN & COMPANY OF FLORIDA, LLC

Nov 2019 – Jan 2021

LAKELAND, FL

ALLEN & COMPANY OF FLORIDA, LLC

Oct 2006 – Nov 2019

LAKELAND, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 66

Registration record

First registered · October 5, 2006

Years registered · 19

Disclosure History

2002Customer Dispute·Closed-No Action

1983Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ALLEN & COMPANY OF FLORIDA, LLC

CRD 25 · SEC 801-57874

AUM

$1.4B

Regulatory assets under management

Employees

3,621 client accounts

Services offered by ALLEN & COMPANY OF FLORIDA, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ALLEN & COMPANY OF FLORIDA, LLC →

Introduction

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Frequently Asked Questions

What services does Ralph Carter Allen offer?

Ralph Carter Allen specializes in Financial Planning, Investment Management, Wealth Management.

What are Ralph Carter Allen's credentials?

Ralph Carter Allen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ralph Carter Allen located?

Ralph Carter Allen is based in LAKELAND, Florida, last registered with ALLEN & COMPANY OF FLORIDA, LLC.

How does Ralph Carter Allen charge for services?

Ralph Carter Allen's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ALLEN & COMPANY OF FLORIDA, LLC?

ALLEN & COMPANY OF FLORIDA, LLC has approximately 65 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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