Joseph C. Allison
WESTPARK WEALTH ADVISORS
BAY CITY, TX 77414
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CRD#: 2726356
Professional summary
Joseph Charles Allison, AIF®, CFP®, who also goes by Charles Allison, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Bay City, Texas and CALTON & ASSOCIATES, INC. located in Bay City, Texas.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles 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.
No. 1) Name of Business: Allison Benefit Consultants. Non-Investment related. Address: 1805 5th Street, Suite 201, Bay City, TX 77414. Nature of Business: DBA for Employee Benefits: Group, Health, Life, Disability, Voluntary Benefits. Workers Comp and P&C. Position/Title/Relationship: Agent. Start Date: 01/1996. Hours per month: 40. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Owner. Broker/Agent.
No. 2) Name of Business: Alisson P & C LLC. Non-Investment related. Address: 3108 Ave H, Bay City, TX 77414. Nature of Business: DBA for personal lines of insurance, Auto & Home. Position/Title/Relationship: Partner. Start Date: 11/2020. Hours per month: 8. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Administration.
No. 3) Name of Business: Westpark Wealth Advisors Inc. Investment related. Address: 13111 Westheimer Rd., Suite 475, Houston, TX 77077. Nature of Business: Investment Advisory Services. Position/Title/Relationship: Agent/ IAR. Start Date: 01/2003. Hours per month: 40. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Investment Advisory Representative.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Charles Allison's 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®
CFP®
Start date: 2002
Experience
Current
May 12, 2004 - Present
WESTPARK WEALTH ADVISORS, INC.
Office #1: 1805 5th Street Suite 201, Bay City, TX 77414RIA
CRD#: 130914
BAY CITY, TX
Current
November 9, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1805 5th Street Suite 201, Bay City, TX 77414RIA
BD
CRD#: 20999
Bay City, TX
Past
April 30, 2003 - December 31, 2004
IMS SECURITIES, INC.
RIA
CRD#: 35567
BAY CITY, TX
Past
April 30, 2003 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
BAY CITY, TX
Past
June 27, 2002 - May 2, 2003
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
BAY CITY, TX
Past
May 15, 2002 - May 2, 2003
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
SAN ANTONIO, TX
Past
May 1, 1998 - June 5, 2002
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
March 26, 1996 - April 14, 1998
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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".
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 Approved)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.RR
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
IAR
Florida(8/10/2022)
IAR
Georgia(6/19/2018)
IAR
Oregon(5/11/2018)
IAR
Texas(5/12/2004)
RR
Texas(11/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Mailing Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Phone number
(713) 266-2993
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
Red Flags
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Company Information
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914Bay City, TX 77414TRUST BUT VERIFY
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