Alisa M. Allen
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.
Alisa Michele Allen, who also goes by Alisa Michele Adams, Alisa M Allen, was a registered financial professional .
Alisa is a previously registered financial professional and started their career in finance in 2000. Alisa had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2013 - October 4, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 12, 2013 - October 4, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 22, 2011 - June 28, 2013
PARTNERS CAPITAL MANAGEMENT, INC.
September 22, 2011 - June 28, 2013
PARTNERS INVESTMENT NETWORK, INC.
February 8, 2008 - January 6, 2011
EDWARD JONES
February 8, 2008 - January 6, 2011
EDWARD JONES
August 20, 2007 - January 30, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 17, 2007 - January 30, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 9, 2000 - January 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2000 - January 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
