Alison H. Mewborne

SEVEN HILLS FINANCIAL

Tallahassee, FL 32303

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CRD#: 5060027

Professional summary

Alison Horton Mewborne, AIF®, CFP® is a registered financial advisor currently at SEVEN HILLS FINANCIAL, LLC located in Tallahassee, Florida.

Alison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Alison has worked at 3 firms and has passed the Series 66, SIE 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.

July 2023 to Present -- Florida State University for the Center for Academic & Professional Development located at 555 W. Pensacola Street, Tallahassee, Florida 32306 -- Not Investment-Related -- Online instructor for the CFP Retirement Planning curriculum teaching four (4) courses per calendar year -- less than 5-hours per month as an online instructor in the evening and not during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alison Horton Mewborne'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

July 7, 2023 - Present

SEVEN HILLS FINANCIAL, LLC

Office #1: 410 East 6th Avenue, Tallahassee, FL 32303

RIA

CRD#: 143190

Tallahassee, FL

Past

February 14, 2018 - January 30, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAIRO, GA

Past

February 14, 2018 - January 30, 2023

LPL FINANCIAL LLC

CRD#: 6413

CAIRO, GA

Past

January 10, 2006 - February 15, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TALLAHASSEE, FL

Past

November 10, 2005 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

TALLAHASSEE, FL

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".

SEVEN HILLS FINANCIAL, LLC

SEVEN HILLS FINANCIAL DESIGN GROUP, LLC | SEVEN HILLS FINANCIAL, LLC

CRD#: 143190 / SEC#: 801-129414

RIA

Registered Investment Advisory firm - (1/22/2024 Approved)

Florida

Registered Investment Advisory firm - (2/14/2024 Terminated)

Georgia

Registered Investment Advisory firm - (2/16/2024 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(7/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/29/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2005

General Securities Representative Examination

Current Firm

SEVEN HILLS FINANCIAL, LLC

SEVEN HILLS FINANCIAL DESIGN GROUP, LLC | SEVEN HILLS FINANCIAL, LLC

CRD#: 143190 / SEC#: 801-129414

RIA

Registered Investment Advisory firm - (1/22/2024 Approved)

Florida

Registered Investment Advisory firm - (2/14/2024 Terminated)

Georgia

Registered Investment Advisory firm - (2/16/2024 Terminated)

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Contact information

Main Address

410 East 6th Avenue, Tallahassee, FL 32303

Mailing Address

Phone number

(850) 219-6699

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	594
AUM (Assets Under Management)	$ 149,105,232

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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Alison H. Mewborne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alison Horton Mewborne's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEVEN HILLS FINANCIAL, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

SEVEN HILLS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2005

Current Firm

SEVEN HILLS FINANCIAL, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SEVEN HILLS FINANCIAL, LLC

TRUST BUT VERIFY

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