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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

ERIC SCOTT FRANKLIN

Advisor at ALLEN WEALTH MANAGEMENT, LLC

BOONE, NC

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Search this name across graphsid dfx:ria:f9fc658c-f0b2-6262-c7a2-d0725aaa3fc8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 18, 2011 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: ALLEN WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 19, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 19, 2001
First registration: May 18, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 4330425

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
ALLEN WEALTH MANAGEMENT, LLC	Independent wealth	Mar 3, 2015	n/a	yes	BOONE, NC	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 11, 2014	Mar 3, 2015	no	BOONE, NC	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Jul 1, 2014	Sep 3, 2014	no	HICKORY, NC\|Raleigh, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 18, 2011	Jun 25, 2014	no	BOONE, NC\|BOONE, NC\|WINSTON SALEM, 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 FINANCIAL SERVICES ADVISORS, INC	ALLEN WEALTH MANAGEMENT, LLC	Mar 3, 2015	Mar 3, 2015	0	Firm change	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 3, 2014	Sep 11, 2014	8	Firm change	Other
WELLS FARGO ADVISORS	FIRST CITIZENS INVESTOR SERVICES, INC.	Jun 25, 2014	Jul 1, 2014	6	Firm change	Other

Relationships

Registered with (4)

→ ALLEN WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Mar 3, 2015 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 11, 2014 to Mar 3, 2015factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Jul 1, 2014 to Sep 3, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 18, 2011 to Jun 25, 2014factForm ADV

Dated events

No dated event names this entity yet.