D A. Blankenship

SOUTHEAST INVESTMENTS, N.C.

Charlotte, NC 28217

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CRD#: 2842335

Professional summary

D Allen Blankenship, who also goes by D Allen Blankenship, Donald Allen Blankenship, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.

D is registered as a RR (Registered Representative) and started their career in finance in 1997. D has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

D Allen Blankenship | Donald Allen Blankenship

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) LEGACY FINANCIAL ASSOCIATES - INVESTMENT RELATED - DBA FOR MARKETING BROKERAGE AND INVESTMENT ADVISORY SERVICES PROVIDED AS RR/IAR OF BD/RIA. OWNER. 1999. LESS THAN 1% OF TIME SPENT. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2) FIXED INSURANCE - INVESTMENT RELATED - FIXED INSURANCE SALES. AGENT. TIME VARIES BASED ON CLIENT NEEDS. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. INSURANCE SALES.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view D Allen Blankenship'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

September 5, 2024 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217

RIA

CRD#: 43035

Charlotte, NC

Past

June 22, 2023 - August 16, 2024

SB ADVISORY, LLC

RIA

CRD#: 154680

King of Prussia, PA

Past

June 20, 2023 - June 20, 2023

SB ADVISORY, LLC

RIA

CRD#: 154680

King of Prussia, PA

Past

June 20, 2023 - August 16, 2024

SAN BLAS SECURITIES LLC

CRD#: 290605

CHICAGO, IL

Past

April 3, 2020 - June 27, 2023

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA

CRD#: 126514

King of Prussia, PA

Past

April 2, 2020 - June 27, 2023

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514

King of Prussia, PA

Past

July 8, 2016 - October 22, 2019

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

King of Prussia, PA

Past

July 8, 2016 - October 22, 2019

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

King of Prussia, PA

Past

February 28, 2014 - July 11, 2016

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

KING OF PRUSSIA, PA

Past

May 11, 2010 - July 11, 2016

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

KING OF PRUSSIA, PA

Past

August 1, 2002 - May 7, 2010

LPL FINANCIAL LLC

CRD#: 6413

KING OF PRUSSIA, PA

Past

April 24, 2002 - August 2, 2002

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

MEDIA, PA

Past

April 1, 2002 - August 2, 2002

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 5, 1997 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 5, 1997 - April 30, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

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

Pennsylvania
(9/23/2024)

Texas
(10/14/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/21/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1997

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: 2/17/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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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Advisor Monitoring

Firm Stability Insights

D A. Blankenship

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view D Allen Blankenship's CRS (Customer Relationship Summary).

Certified licenses

Experience

SB ADVISORY, LLC

SB ADVISORY, LLC

SAN BLAS SECURITIES LLC

THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2014

Series 65

Date: 6/8/1999

Series 63

Date: 3/3/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/17/1999

Series 6

Date: 2/3/1997

Series 24

Date: 3/7/2001

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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