DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

WILLIAM WARD ALLEN

Advisor at WELLS FARGO ADVISORS

RALEIGH, NC | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:20bf6563-79e5-94be-d776-a7386bfb47fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 16, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 23, 2002
First registration: Oct 16, 2002
Dual registered: yes, broker-dealer
Other names: BILL ALLEN
IAPD individual key: 4459428

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 31, 2013	n/a	yes	RALEIGH, NC\|NEW YORK, NY	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Nov 6, 2013	no	RALEIGH, NC	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Apr 6, 2010	Feb 13, 2013	no	RALEIGH, NC	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Feb 27, 2006	Jul 6, 2009	no	RALEIGH, NC	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Aug 9, 2004	Feb 23, 2006	no	RALEIGH, NC	Previous registration
DAVENPORT & COMPANY LLC	Bd affiliated wealth	Oct 16, 2002	Jun 3, 2004	no	RALEIGH, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES & ASSOCIATES, INC.	WELLS FARGO ADVISORS	Nov 6, 2013	Oct 31, 2013	-6	Firm change	Ibd to wirehouse
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	MORGAN KEEGAN & COMPANY, LLC	Jul 6, 2009	Apr 6, 2010	274	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	FIRST CITIZENS INVESTOR SERVICES, INC.	Feb 23, 2006	Feb 27, 2006	4	Firm change	Other
DAVENPORT & COMPANY LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 3, 2004	Aug 9, 2004	67	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 31, 2013 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Nov 6, 2013factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Apr 6, 2010 to Feb 13, 2013factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Feb 27, 2006 to Jul 6, 2009factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Aug 9, 2004 to Feb 23, 2006factForm ADV
→ DAVENPORT & COMPANY LLCRegistered adviserregistration: previous registration
Oct 16, 2002 to Jun 3, 2004factForm ADV

Dated events

No dated event names this entity yet.