Karlos Allen
Senior Vice President
karlos.allen@ricefin.com

Karlos Allen joined Rice Financial in 2010 with from RBC Capital Markets, where his principal responsibilities included transaction execution, deal structuring, cash flow modeling and credit analysis.  In an earlier position with First Southwest Company, Mr. Allen provided analytical, research and transactional support to senior investment bankers in all departmental work activities relating to the structuring and underwriting and issuance of negotiated bonds and related financial advisory services.

Mr. Allen has provided financial advisory and underwriting services to numerous issuers throughout Texas and participated in the issuance of over $7 billion in par amount over the last two years.  The Texas clients he has served include the Texas Public Finance Authority; the cities of Baytown, Houston, League City, Sugar Land and Waco; Fort Bend County and Harris County; Harris County Toll Road Authority; Houston METRO; the University of Houston System; Houston Community College; Lee Junior College; Lone Star College; San Jacinto Community College; and the following school districts: Aldine, Alief, Houston, Klein, Lamar, North Forest, Round Rock, Sealy and Spring Branch.

In earlier positions, Mr. Allen was an associate with VALIC, where he was responsible for the daily administration of several annuities whose primary holdings consisted of fixed income securities, and a transfer agent with Aim Investments, where he was responsible for pricing the funds' portfolios, preparing annual and semi-annual reports for shareholders, and acting as liaison to external auditors.

Mr. Allen served in the U.S. Army Reserves from 1997 to 2005.  He has been awarded the Army Achievement Medal, National Defense Service Medal, Global War on Terrorism Medal, Warrior Citizen (Award of Excellence), Iraq Campaign Medal, Reserve Components Achievement Medal and Army Commendation Medal.  Mr. Allen received a bachelor’s degree from the University of Houston.

FINRA Licenses:  6, 7, 63

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