Nicole Allen has been CCO of Monarch Wealth Strategies since August 2024, is a control person of the firm and directly owns under 5% of it. Nicole Allen holds a Bachelor of Science in Business from the University of Phoenix.
Monarch Wealth Strategies is a Santa Barbara, CA firm with $463M under management, 396 clients and 7 advisers across 3 offices, as of its March 2026 filing.
Nicole Allen is Chief Compliance Officer & Wealth Advisor of Monarch Wealth Strategies. She works with clients on major financial decisions and, in her compliance role, upholds the firm's adherence to ethical and regulatory standards while leading initiatives for firm growth and operational excellence. Her background is as a former bank branch and operations manager.
- Monarch Wealth StrategiesCurrent– present · 4 yearsSanta Barbara, CA · Adviser representative · Firm CRD 136029
Professional designations
Listed by Monarch Wealth Strategies
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Nicole Allen is registered as an investment adviser representative in California, since September 2022.
- CaliforniaSince 7 September 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 2 September 2022 |
| SIE | Securities Industry Essentials Examination | 31 August 2020 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Nicole Renee Allen
- CRD
- 7127630
- Firm
- Monarch Wealth Strategies · CRD 136029
- Role
- CCO
- Office
- 222 E Carrillo St. Suite 208, Santa Barbara, CA 93101
- Registration
- Investment adviser registration
- In the industry since
- September 2022
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mwsus.com
Where does Nicole Allen work?
Nicole Allen has been CCO of Monarch Wealth Strategies since August 2024, and is a control person of the firm.
Is Nicole Allen a financial advisor?
Yes. Nicole Allen has a current investment-adviser registration in California, through Monarch Wealth Strategies since September 2022.
How many years of experience does Nicole Allen have?
Nicole Allen has 4 years in the financial industry, since September 2022, across 1 adviser firm.
What exams has Nicole Allen passed?
Nicole Allen has passed 2 licensing exams: the SIE and Series 65. The earliest, the SIE, was passed in August 2020.
Where is Nicole Allen based?
Nicole Allen’s registered office is in Santa Barbara, CA.
Is Nicole Allen registered with FINRA?
No. Nicole Allen has no current broker registration.
Is Nicole Allen a CFP?
Monarch Wealth Strategies lists Nicole Allen with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Nicole Allen’s record?
Search CRD 7127630 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicole Allen’s full registration record.
