Allison L. Couch Pratt
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allison Lee Couch Pratt, who also goes by Allison Lee Couch, Allison Lee Dean, Allison Lee Pratt, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1993. Allison had worked at 20 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2020 - September 16, 2020
INVESTACORP, INC.
April 21, 2020 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
April 21, 2020 - November 23, 2020
SECURITIES SERVICE NETWORK, LLC
April 21, 2020 - August 6, 2021
TRIAD ADVISORS LLC
April 21, 2020 - August 6, 2021
SECURITIES AMERICA, INC.
April 21, 2020 - August 6, 2021
LADENBURG THALMANN & CO. INC.
May 30, 2014 - August 6, 2021
WOODBURY FINANCIAL SERVICES, INC.
May 30, 2014 - August 6, 2021
OSAIC SERVICES, INC.
May 30, 2014 - August 6, 2021
FSC SECURITIES CORPORATION
May 30, 2014 - December 31, 2021
OSAIC WEALTH, INC.
May 30, 2014 - August 6, 2021
WOODBURY FINANCIAL SERVICES, INC.
May 30, 2014 - August 6, 2021
OSAIC SERVICES, INC.
May 30, 2014 - August 6, 2021
FSC SECURITIES CORPORATION
May 30, 2014 - December 31, 2021
OSAIC WEALTH, INC.
August 17, 2012 - May 21, 2014
CETERA INVESTMENT ADVISERS LLC
August 17, 2012 - May 21, 2014
CETERA FINANCIAL SPECIALISTS LLC
March 29, 2011 - May 21, 2014
CETERA WEALTH SERVICES, LLC
March 28, 2011 - May 21, 2014
CETERA INVESTMENT SERVICES LLC
March 28, 2011 - May 21, 2014
CETERA ADVISORS LLC
March 28, 2011 - May 21, 2014
CETERA WEALTH SERVICES, LLC
December 17, 2009 - April 15, 2011
LPL FINANCIAL LLC
December 17, 2009 - April 15, 2011
LPL FINANCIAL LLC
November 24, 2008 - December 23, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
November 21, 2008 - December 4, 2009
ASSOCIATED SECURITIES CORP.
November 21, 2008 - November 11, 2010
ASSOCIATED SECURITIES CORP.
September 5, 2006 - February 4, 2009
STRATEGIC WEALTH ADVISORS GROUP
May 6, 2003 - December 31, 2005
FSC SECURITIES CORPORATION
December 18, 2002 - December 31, 2005
ADVANTAGE CAPITAL CORPORATION
December 18, 2002 - November 4, 2008
FSC SECURITIES CORPORATION
May 20, 1993 - March 25, 2003
OSAIC WEALTH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/27/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
