AH
Allen N. Huggins
VERITY ASSET MANAGEMENT
WILMINGTON, NC 28401-3415
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CRD#: 2941916
AH
Professional summary
Allen Neal Huggins is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Wilmington, North Carolina and VERITY INVESTMENTS, INC. located in Wilmington, North Carolina.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Allen has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 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.
1.GALLO PINTO - NOT INVESTMENT RELATED, 412 MARKET STREET, WILMINGTON, NC 28401,PERSONAL CORPORATION - some insurances sales, PRESIDENT, BEGAN JULY 2000, 1 HOUR PER MONTH, NONE DURING TRADING HOURS, ADMINISTRATIVE and SALES. 2.ARINGA DEVELOPMENT CORP., INVESTMENT REAL ESTATE, 701 N. FOURTH ST., WILMINGTON, NC 28401,REAL ESTATE HOLDING COMPANY, PARTNER, NOVEMBER 2005, 1 HOUR PER MONTH, NONE DURING TRADING HOURS, ADMINISTRATIVE. 3.HAMPSTEAD 10 LLC, INVESTMENT REAL ESTATE,701 N. FOURTH ST., WILMINGTON, NC 28401, REAL ESTATE HOLDING COMPANY,PARTNER, APRIL 2009, NO DUTIES 4.NOFO DOS,LLC, INVESTMENT REAL ESTATE,701 N. FOURTH ST., WILMINGTON, NC 28401, REAL ESTATE HOLDING COMPANY,PARTNER, MARCH 2015, NO DUTIES 5.Acrobat,LLC; Investment Real Estate; 412 Market St., Wilmington, NC 28401; Managing Member; Began Jan. 2019; 1 HOUR PER MONTH, NONE DURING TRADING HOURS, ADMINISTRATIVE. 6.Verity Asset Management, Investment Related, Durham NC, Affiliated entity providing Investment Advisory Services, Investment Advisor Representative, Start 07/2011, 170 hours per month with same during securities trading hours, Offers Investment Advisory Services. 7. Verity Financial Group, Inc.; Not investment-related; Durham, NC; Insurance agency; Agent; Independent Contractor; 08/1997; 0 hours per month; 0 during market hours; Insurance and annuity products. 8. O2G, LLC; Not investment-related; Wilmington, NC; Fitness Instruction; Employee; Fitness instructor; 10/2023; 2 hours per month; 2 during market hours; Group fitness instruction. 9. O2 Fitness Hanover, LLC; Not investment-related; Wilmington, NC; Fitness Instruction; Employee; Fitness instructor; 10/2023; 2 hours per month; 2 during market hours; Group fitness instruction. 10. FIT-4-LIFE, LLC ; Not investment-related; Wilmington, NC; Fitness Instruction; Employee; Fitness instructor; 10/2023; 2 hours per month; 2 during market hours; Group fitness instruction.
CRS (Client Relationship Summary) - RIA
Click below to view Allen Neal Huggins'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®
NoneExperience
Current
July 29, 2011 - Present
VERITY ASSET MANAGEMENT
Office #1: 701 N 4th St, Wilmington, NC 28401-3415RIA
CRD#: 158667
WILMINGTON, NC
Current
September 24, 1997 - Present
VERITY INVESTMENTS, INC.
Office #1: 701 North Fourth Street, Wilmington, NC 28401BD
CRD#: 41527
Wilmington, NC
Past
February 11, 2005 - July 29, 2011
VERITY INVESTMENTS, INC.
RIA
CRD#: 41527
DURHAM, NC
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".
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
RIA
Registered Investment Advisory firm - (5/26/2006 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
Georgia(2/7/2024)
RR
Kentucky(7/14/2020)
RR
North Carolina(10/3/1997)
IAR
North Carolina(7/29/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
RIA
Registered Investment Advisory firm - (5/26/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3676
Mailing Address
Phone number
(919) 490-6717
Established
Firm type
Fiscal year end
# of Employees
67
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
Red Flags
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Company Information
VERITY ASSET MANAGEMENT
CRD#: 158667Wilmington, NC 28401-3415TRUST BUT VERIFY
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Contact information
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