Unclaimed Profile

Derrick J. Allen

THE MOSAIC FINANCIAL GROUP, LLC·CHICAGO, Illinois

Series 65Clean record4 years registeredTHE MOSAIC FINANCIAL GROUP, LLC

303 E. WACKER DRIVE, CHICAGO, IL 60601CRD# 6931796Firm CRD# 109816

Profile Verification

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

Identity

Derrick J. Allen · CHICAGO, IL

Registration

CRD #6931796 · THE MOSAIC FINANCIAL GROUP, LLC · 4 years registered

Brand Profile

Not yet started

Career History

THE MOSAIC FINANCIAL GROUP, LLC

Jan 2022 – present

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · January 7, 2022

Years registered · 4

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE MOSAIC FINANCIAL GROUP, LLC

CRD 109816 · SEC 801-58120

AUM

$945M

Regulatory assets under management

Employees

589 client accounts

Services offered by THE MOSAIC FINANCIAL GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE MOSAIC FINANCIAL GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Derrick J. Allen offer?

Derrick J. Allen specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CHICAGO, Illinois for a consultation.

What are Derrick J. Allen's credentials?

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

Where is Derrick J. Allen located?

Derrick J. Allen is based in CHICAGO, Illinois, working with THE MOSAIC FINANCIAL GROUP, LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does Derrick J. Allen charge for services?

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

How large is THE MOSAIC FINANCIAL GROUP, LLC?

THE MOSAIC FINANCIAL GROUP, LLC has approximately 23 employees and manages $945M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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