RA
Rodney R. Allain
CLEARBRIDGE INVESTMENTS
Nashville, TN
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CRD#: 2934293
RA
Professional summary
Rodney Raymond Allain, CIMA® is a registered financial advisor currently at CLEARBRIDGE INVESTMENTS, LLC located in Nashville, Tennessee and FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Rodney has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CT Rental Property; Owner; managed through AirBnB; Beginning 9/1/2020; no time devoted.
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Raymond Allain'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®
Experience
Current
April 12, 2018 - Present
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
Nashville, TN
Current
April 18, 2018 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078BD
CRD#: 109064
Short Hills, NJ
Past
January 2, 2024 - July 3, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
Nashville, TN
Past
March 20, 2006 - March 10, 2017
AST INVESTMENT SERVICES, INC.
RIA
CRD#: 108897
SHELTON, CT
Past
February 27, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
RIA
CRD#: 109211
SHELTON, CT
Past
September 8, 1997 - March 10, 2017
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
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".
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT
CRD#: 137028 / SEC#: 801-64710
RIA
Registered Investment Advisory firm - (9/30/2005 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
RR
Alabama(6/7/2018)
RR
Alaska(6/7/2018)
RR
Arizona(6/7/2018)
RR
Arkansas(6/7/2018)
RR
California(6/7/2018)
RR
Colorado(6/7/2018)
RR
Connecticut(4/18/2018)
RR
Delaware(6/7/2018)
RR
District of Columbia(6/7/2018)
RR
Florida(6/7/2018)
RR
Georgia(6/7/2018)
RR
Hawaii(6/7/2018)
RR
Idaho(6/7/2018)
RR
Illinois(6/7/2018)
RR
Indiana(6/7/2018)
RR
Iowa(6/7/2018)
RR
Kansas(6/7/2018)
RR
Kentucky(6/7/2018)
RR
Louisiana(6/7/2018)
RR
Maine(6/7/2018)
RR
Maryland(6/7/2018)
RR
Massachusetts(6/7/2018)
RR
Michigan(6/7/2018)
RR
Minnesota(6/7/2018)
RR
Mississippi(6/7/2018)
RR
Missouri(6/7/2018)
RR
Montana(6/7/2018)
RR
Nebraska(6/7/2018)
RR
Nevada(6/7/2018)
RR
New Hampshire(6/7/2018)
RR
New Jersey(6/7/2018)
RR
New Mexico(6/7/2018)
RR
New York(4/18/2018)
RR
North Carolina(6/7/2018)
RR
North Dakota(6/7/2018)
RR
Ohio(6/8/2018)
RR
Oklahoma(6/7/2018)
RR
Oregon(6/7/2018)
RR
Pennsylvania(6/7/2018)
RR
Puerto Rico(6/7/2018)
RR
Rhode Island(6/7/2018)
RR
South Carolina(6/7/2018)
RR
South Dakota(6/7/2018)
RR
Tennessee(4/18/2018)
IAR
Tennessee(6/3/2021)
RR
Texas(6/7/2018)
RR
Utah(6/7/2018)
RR
Vermont(6/7/2018)
RR
Virgin Islands(6/7/2018)
RR
Virginia(6/7/2018)
RR
Washington(6/7/2018)
RR
West Virginia(6/7/2018)
RR
Wisconsin(6/7/2018)
RR
Wyoming(6/7/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT
CRD#: 137028 / SEC#: 801-64710
RIA
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Contact information
Main Address
One Madison Avenue 18th Floor, New York, NY 10010
Mailing Address
Phone number
(212) 805-2000
Established
Firm type
Fiscal year end
# of Employees
214
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122,375 |
| AUM (Assets Under Management) | $ 180,788,611,945 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 01/27/2023 |
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.
