Hi Chad,

We’re closing out the 2026 state registration renewal for Fisher Investments, and your record is one of the last still open. Your Form U4 still shows the occupation and branch we had on file while you were in Portfolio Management — it hasn’t been re-confirmed since you moved into the Group Vice President, Consulting Services role in April 2022.

Please sign in to the Compliance Portal with your Fisher Investments credentials and confirm your details before the window closes:

Details to confirm:

Registered representative: Chad Allen — GVP, Consulting Services
CRD #: 4644476 | Exams: Series 63 & Series 65 | Registered state: California
Branch of record: 1450 Fashion Island Blvd, San Mateo, CA 94404

After your 20+ years here — from the sales desk through the trading desk and portfolio management — we want your record clean before the renewal posts. The portal also handles the annual renewal & CE processing fee ($285.00) in the same step once you’re signed in.

Deadline: Friday, October 31, 2026, 5:00 p.m. PT. If your registration is left unconfirmed after the window closes, an unconfirmed designation is marked lapsed with the state and your California advisory registration can be suspended until reinstated (currently a 2–3 week turnaround).

Thanks for taking care of this today,
Registration & Compliance
Fisher Investments

Sent to chad.allen@fisherinvestments.com. If you believe you received this in error, contact the Compliance Help Desk.