David M. Alison
PROSPERITY CAPITAL ADVISORS
Palo Alto, CA 94301
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CRD#: 5425119
Professional summary
David Matthew Alison, CFP® is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Palo Alto, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. David has worked at 2 firms and has passed the Series 65 exam.
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) Mr. Alison is a licensed insurance agent conducting business from is registered location. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Alison spends approx. 5 hrs/week during trading hours on this activity. 2) MR. ALISON IS THE OWNER OF ALISON WEALTH MANAGEMENT PROVIDING TAX PLANNING, TAX MANAGEMENT, TAX PREPARATION, AND BUSINESS CONSULTING. HE SPENDS APPROX 2 HRS/MONTH DURING SECURITIES TRADING HOURS AND 8 HRS/MONTH DURING NON-SECURITIES TRADING HOURS ON THIS ACTIVITY CONDUCTING BUSINESS FROM HIS REGISTERED LOCATION. MR. ALISON CHARGES AN HOURLY RATE FOR THESE SERVICES. 3) David Alison is one of the Managing Members of CECAK, LLC which is a real estate investment holding company. Mr. Alison spends approximately two hours per month on this activity during non-trading hours. 4) David Alison is one of the Managing Members of TADA Holdings, LLC which is a real estate investment holding company. Mr. Alison spends approximately two hours per month on this activity during non-trading hours. 5) David Alison is the Owner of Alison Wealth Management, LLC which is the operating entity for Mr. Alison's advisory, tax and insurance business. Mr. Alison spends approximately twenty hours per week during trading hours working under this entity.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2016
Experience
Current
March 25, 2011 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 228 Hamilton Ave 3rd Floor, Palo Alto, CA, 94301Office #2: 171 Church Street Suite 310, Charleston, SC 29401RIA
CRD#: 156480
Palo Alto, CA
Past
October 31, 2007 - January 10, 2011
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
PALM HARBOR, 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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 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.Highlighted states indicate IAR registrations
IAR
California(12/18/2017)
IAR
Georgia(1/4/2024)
IAR
Ohio(3/25/2011)
IAR
South Carolina(8/17/2022)
IAR
Texas(11/30/2020)
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Palo Alto, CA 94301TRUST BUT VERIFY
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