Career
Herbert Allen has been President of Allen Investment Management since November 2002. Herbert Allen is a control person of the firm and directly owns under 5% of it.
Allen Investment Management, LLC is a New York, NY firm with $16.9B under management, 144 clients and 12 advisers in one office, as of its March 2026 filing.
No adviser firm registrations are on Herbert Allen’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 21 August 1996 |
| Series 7 | General Securities Representative Examination | 16 December 1989 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Herbert Anthony Allen
- CRD
- 1532662
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Herbert Allen work?
Herbert Allen has been President of Allen Investment Management, LLC since November 2002, and is a control person of the firm.
Does Herbert Allen have a current investment-adviser registration?
Herbert Allen has a current broker registration and no current investment-adviser registration.
What exams has Herbert Allen passed?
Herbert Allen has passed 3 licensing exams: the Series 7, Series 24 and Series 79TO. The earliest, the Series 7, was passed in December 1989. FINRA credited Herbert Allen with the SIE, which began in October 2018.