Cary M. Allison

KERA CAPITAL PARTNERS

GRANITE BAY, CA 95746

Some features on this profile are disabled

CRD#: 2268465

Professional summary

Cary M Allison, CIMA®, who also goes by Cary Michael Allison, is a registered financial advisor currently at KERA CAPITAL PARTNERS located in Granite Bay, California.

Cary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Cary has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cary Michael 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.

Highland Capital Brokerage; Insurance Sales; Investment-related; Sacramento, CA; Insurance Broker; 0 hours/month during securities trading hours; Less than 10 hours/month outside of securities trading hours. Sell insurance products for commission. *519273- Trust; Investment related-Yes; El Dorado Hills, California;08/2022; During business hours: 0; After business hours: 0.1

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary M 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 21, 2023 - Present

KERA CAPITAL PARTNERS

Office #1: 5955 Granite Lake Drive Suite 160, Granite Bay, CA 95746

RIA

CRD#: 312875

GRANITE BAY, CA

Past

June 1, 2009 - October 4, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Franklin, TN

Past

June 1, 2009 - October 4, 2023

MORGAN STANLEY

CRD#: 149777

Roseville, CA

Past

December 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FOLSOM, CA

Past

December 3, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FOLSOM, CA

Past

July 1, 2003 - December 4, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FOLSOM, CA

Past

July 1, 2003 - December 4, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FOLSOM, CA

Past

September 28, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

ROSEVILLE, CA

Past

September 15, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 3, 1995 - September 28, 2000

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

January 28, 1995 - February 28, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 14, 1992 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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".

KERA CAPITAL PARTNERS

KERA CAPITAL PARTNERS | KERA CAPITAL PARTNERS, INC.

CRD#: 312875 / SEC#: 801-120454

RIA

Registered Investment Advisory firm - (3/9/2021 Approved)

California

Registered Investment Advisory firm - (12/23/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(9/21/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/15/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/12/1992

General Securities Representative Examination

Current Firm

KERA CAPITAL PARTNERS

KERA CAPITAL PARTNERS | KERA CAPITAL PARTNERS, INC.

CRD#: 312875 / SEC#: 801-120454

RIA

Registered Investment Advisory firm - (3/9/2021 Approved)

California

Registered Investment Advisory firm - (12/23/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1760 The Alameda, San Jose, CA 95126

Mailing Address

4101 J Street Suite 230, Sacremento, CA 95819

Phone number

(408) 668-2201

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (7/16/2025)

Regulatory assets under management

Total Number of Accounts	889
AUM (Assets Under Management)	$ 1,069,762,426

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.

Similar Advisors

Kenneth Christie

SPECTRUM WEALTH ADVISORY GROUP, LLC

IAR

Granite Bay, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Cary M. Allison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary M Allison's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

PIPER SANDLER & CO.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

KERA CAPITAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/1992

Series 63

Date: 10/1/1992

SIE

Date: 10/1/2018

Series 3

Date: 10/15/1992

Series 7

Date: 9/12/1992

Current Firm

KERA CAPITAL PARTNERS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KERA CAPITAL PARTNERS

TRUST BUT VERIFY

Similar Advisors