DA
David L. Allison
ALLISON INVESTMENT MANAGEMENT
COLUMBIA, SC 29201
Some features on this profile are disabled
CRD#: 4442492
DA
Professional summary
David Lindsey Allison is a registered financial advisor currently at ALLISON INVESTMENT MANAGEMENT, LLC located in Columbia, South Carolina and OSAIC WEALTH, INC. located in Columbia, South Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 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- ALLISON INVESTMENT MANAGEMENT LLC; INVESTMENT RELATED; 1201 LINCOLN ST., SUITE 301, COLUMBIA SC 29201; FEE-BASED SEC RIA; VP; 12/16/2002; 160 HRS/MONTH; 6 HRS/DAY; COMPENSATION-% OF THE ANNUAL FEES THAT ALLISON INVESTMENT MANAGEMENT CHARGES CLIENTS; INVESTMENT ANALYSIS, RELATIONSHIP MANAGEMENT, AND TRADING. 2-INSURANCE AGENT- INVESTMENT RELATED-AT REPORTED BUSINESS LOCATION(S), INSURANCE SALES, AGENT, 2000, DEVOTES NOT MORE THAN 30% OF AGENTS TIME DURING WORKING HRS/MO DURING TRADING HOURS; SALE OF VARIOUS INSURANCE PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view David Lindsey Allison'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
April 2, 2009 - Present
ALLISON INVESTMENT MANAGEMENT, LLC
Office #1: 1201 Lincoln Street Suite 301, Columbia, SC 29201RIA
CRD#: 124645
COLUMBIA, SC
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1201 Lincoln St. Suite 301, Columbia, SC 29201Office #2: 10 Marina St. Suite B, Wrightsville Beach, NC 28408RIA
BD
CRD#: 23131
COLUMBIA, SC
Past
January 2, 2003 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
COLUMBIA, SC
Past
September 17, 2001 - December 4, 2002
COASTAL DISCOUNT STOCKBROKERS, INC.
BD
CRD#: 18237
WILMINGTON, 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".
AI
ALLISON INVESTMENT MANAGEMENT, LLC
ALLISON INVESTMENT MANAGEMENT | ALLISON, JOHN EDWARD | ALLISON INVESTMENT MANAGEMENT, LLC
CRD#: 124645 / SEC#: 801-125959
RIA
Registered Investment Advisory firm - (6/24/2022 Approved)North Carolina
Registered Investment Advisory firm - (6/28/2022 Terminated)South Carolina
Registered Investment Advisory firm - (6/27/2022 Terminated)Texas
Registered Investment Advisory firm - (6/27/2022 Terminated)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
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
IAR
North Carolina(4/28/2009)
RR
North Carolina(8/23/2024)
IAR
South Carolina(4/2/2009)
RR
South Carolina(8/23/2024)
IAR
Texas(4/4/2019)
RR
Texas(8/23/2024)
RR
Virginia(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLISON INVESTMENT MANAGEMENT, LLC
ALLISON INVESTMENT MANAGEMENT | ALLISON, JOHN EDWARD | ALLISON INVESTMENT MANAGEMENT, LLC
CRD#: 124645 / SEC#: 801-125959
RIA
Registered Investment Advisory firm - (6/24/2022 Approved)North Carolina
Registered Investment Advisory firm - (6/28/2022 Terminated)South Carolina
Registered Investment Advisory firm - (6/27/2022 Terminated)Texas
Registered Investment Advisory firm - (6/27/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1201 Lincoln Street Suite 301, Columbia, SC 29201
Mailing Address
Phone number
(803) 806-8400
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 248 |
| AUM (Assets Under Management) | $ 138,205,000 |
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.
Company Information
ALLISON INVESTMENT MANAGEMENT, LLC
CRD#: 124645Columbia, SC 29201TRUST BUT VERIFY
Monitor David Allison
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
