Douglas T. Allison
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.
Douglas Theodore Allison, CFA was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2015 - April 27, 2020
BEACON POINTE WEALTH ADVISORS, LLC
June 17, 2002 - January 25, 2022
BEACON POINTE ADVISORS, LLC
April 5, 2002 - November 10, 2004
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 10, 1996 - March 18, 2002
CANTERBURY CONSULTING INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BEACON POINTE WEALTH ADVISORS, LLC
CRD#: 151328 / SEC#: 801-70550
Contact information
Documents
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.
