Financial Planning Services Offered Through Securities America Advisors, Inc.

Company Bios

Travis Allen

Travis Allen, Certified Financial Planner

President, Wealth Strategies Group
Branch Manager, Securities America Incorporated
Member FINRA and SIPC

Travis Allen is a Certified Financial Planner and the President of the Wealth Strategies Group, a wealth management firm located in Costa Mesa, California. The Wealth Strategies Group specializes in conservative investment management and corporate 401k, health, and disability plans. Securities are offered through Securities America Incorporated, member FINRA and SIPC. Accounts are carried with National Financial Services LLC (NFS), a Fidelity Investments Company.

In addition to managing individual and corporate accounts, Mr. Allen has spoken and taught on a variety of financial and investment related topics for many local governments, institutions, and corporations. A partial list of these include: the City of Anaheim, Orange County Rapid Response, California State University at Fullerton, Golden West College, Learning Tree University, and Mitsubishi Digital Electronics of America.

Travis Allen is also a member of the Financial Planning Association, the Orange County Forum, the South Coast Metro Alliance, and the World Affairs Council of Orange County.

Prior to opening the Wealth Strategies Group in June of 2001, Mr. Allen was an Associate Vice President of Investments at A.G. Edwards & Sons, Inc. in their Orange, California office since 1996.

Travis Allen is a General Securities Principal and Branch Manager. He is licensed for investments in over 25 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Indiana, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Nevada, New Hampshire, New Jersey, New Mexico, New York, Oregon, Rhode Island, Texas, Utah, Virginia, Washington, Wisconsin, and West Virginia. He holds the Series 7, 24, 63, and 66 registrations with FINRA, and is also licensed for Life, Health, and Disability Insurance in California, Michigan, New Jersey, New York, Ohio, and Virginia (California Insurance License #0B79314).

Mark Yates

Mark Yates, Wealth Advisor

Wealth Strategies Group
Securities America
Member FINRA and SIPC

Mark Yates is a Wealth Advisor with the Wealth Strategies Group in Costa Mesa California, and a registered representative of Securities America, Inc., member FINRA and SIPC. Brokerage accounts are carried with National Financial Services LLC (NFS), a Fidelity Investments Company.

Mark holds a Bachelors degree in Business Finance from The California State University of Fullerton. Mark specializes in comprehensive financial advising for individuals and corporations. He has helped numerous clients with retirement planning, investment analysis, tax minimization strategies and life/health insurance.

Mark resides in Apple Valley, California. In his spare time Mark enjoys golf, restoring vintage automobiles and continuing his education. While attending the California State University Chico, Mark was a member of the university’s varsity golf team and completed at the NCAA Division II collegiate level.

Mark Yates is securities licensed in California, Indiana, and Utah. He holds the Series 7, 63 and 66 registrations with FINRA, and is also licensed for Life, Health, and Disability Insurance in California, Indiana, and Utah (California Insurance License #0E38409).