Allison Staab
Professional summary
Allison Staab, who also goes by Allison Iole Staab, Allison Staab, is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in Providence, Rhode Island and NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Allison has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Allison Staab's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2021 - Present
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
Office #2: 500 Salem Street, Smithfield, RI 02917December 21, 2020 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917March 12, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917July 23, 2019 - June 24, 2020
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
April 23, 2018 - June 24, 2020
RUSSELL INVESTMENTS
April 19, 2018 - June 24, 2020
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
March 25, 2013 - April 6, 2018
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
March 18, 2013 - April 6, 2018
AMUNDI DISTRIBUTOR US, INC.
December 22, 2011 - March 11, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
April 11, 2011 - December 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 2011 - December 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 2009 - November 3, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2020)
(1/13/2021)
(12/21/2020)
(1/14/2021)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
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.
