Michael S. Allison

GRADIENT SECURITIES

Greenville, SC 29615

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CRD#: 2232558

Professional summary

Michael Scott Allison, who also goes by Mike Allison, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Greenville, South Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Allison

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. THE RETIREMENT COMPANY, LLC; INVESTMENT RELATED; 1212 HAYWOOD ROAD, BLDG 300, SUITE D, GREEVILLE, SC 29615; INSURANCE; PRESIDENT; START 09/2003; 80 HOURS PER MONTH; 80 HOURS DURING SECURITIES TRADING HOURS; SALES OF FIXED INSURANCE PRODUCTS AND DBA NAME FOR SECURITIES AND ADVISORY BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Allison's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Scott Allison's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 2, 2019 - Present

GRADIENT SECURITIES, LLC

Office #1: 1212 Haywood Road, Bldg 300 Suite D, Greenville, SC 29615

RIA

CRD#: 127701

Greenville, SC

Current

April 2, 2019 - Present

GRADIENT SECURITIES, LLC

Office #1: 1212 Haywood Road, Bldg 300 Suite D, Greenville, SC 29615

RIA

CRD#: 127701

Greenville, SC

Past

March 10, 2016 - April 2, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Greenville, SC

Past

March 10, 2016 - April 2, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

Greenville, SC

Past

July 2, 2015 - March 10, 2016

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

GREENVILLE, SC

Past

July 1, 2015 - March 10, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GREENVILLE, SC

Past

July 3, 2012 - July 1, 2015

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

GREENVILLE, SC

Past

July 3, 2012 - July 1, 2015

QUESTAR CAPITAL CORPORATION

CRD#: 43100

GREENVILLE, SC

Past

June 10, 2008 - July 10, 2012

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TRAVELERS REST, SC

Past

June 2, 2008 - July 10, 2012

INVEST FINANCIAL CORPORATION

CRD#: 12984

TRAVELERS REST, SC

Past

May 7, 2007 - June 9, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

TRAVELERS REST, SC

Past

May 1, 2007 - June 9, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TRAVELERS REST, SC

Past

October 12, 2005 - May 4, 2007

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TRAVELERS REST, SC

Past

October 10, 2005 - May 4, 2007

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TRAVELERS REST, SC

Past

August 13, 2004 - October 7, 2005

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

TRAVELERS REST, SC

Past

July 2, 2004 - October 7, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

June 30, 2003 - July 1, 2004

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

GREENVILLE, SC

Past

June 30, 2003 - July 1, 2004

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

January 16, 2003 - June 30, 2003

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

GREENVILLE, SC

Past

January 2, 2003 - June 30, 2003

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

July 6, 2001 - December 31, 2002

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

May 19, 2000 - July 6, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

August 11, 1992 - May 17, 2000

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(4/2/2019)

IAR

Georgia
(4/3/2019)

IAR

Maine
(8/5/2021)

North Carolina
(4/2/2019)

IAR

North Carolina
(4/2/2019)

South Carolina
(4/2/2019)

IAR

South Carolina
(4/2/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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.

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Daniel Milks

FIDUCIARY ORGANIZATION, LLC

IAR

Greenville, SC

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Advisor Monitoring

Firm Stability Insights

Michael S. Allison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Allison's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Scott Allison's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

TOWER SQUARE SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/1999

Series 63

Date: 8/31/1992

SIE

Date: 10/1/2018

Series 7

Date: 6/28/1999

Series 6

Date: 8/10/1992

Series 24

Date: 8/24/1999

FINRA

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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