Allison B. Grant
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 B Grant, who also goes by Allison B Buckley, Allison Balfour Buckley, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1996. Allison had worked at 6 firms and has passed the Series 66, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2012 - August 24, 2012
ELEMENT WEALTH, LLC
November 22, 2010 - August 19, 2011
MORGAN STANLEY
November 22, 2010 - August 19, 2011
MORGAN STANLEY
January 11, 2010 - October 27, 2010
STONEX SECURITIES INC.
August 27, 2009 - February 1, 2010
STERNE, AGEE & LEACH, INC.
January 27, 1998 - January 15, 2003
CITIGROUP GLOBAL MARKETS INC.
June 12, 1996 - January 27, 1998
STERNE, AGEE & LEACH, INC.
April 24, 1996 - May 28, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ELEMENT WEALTH, LLC
CRD#: 114968 / SEC#: 801-61758
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 8
Date: 5/19/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ELEMENT WEALTH, LLC
CRD#: 114968 / SEC#: 801-61758
Contact information
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,572 |
| AUM (Assets Under Management) | $ 641,942,995 |
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.
