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Allison C. Irving

IRVING PLANNING & INVESTMENTS, LTD.
Centennial, CO 80122
Some features on this profile are disabled
CRD#: 5858669
AI

Professional summary

Allison Carol Irving, who also goes by Allison Carol Barber, is a registered financial advisor currently at IRVING PLANNING & INVESTMENTS, LTD. located in Centennial, Colorado.

Allison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Allison has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Allison Carol Barber

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allison Carol Irving'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®
None

Experience

Current

December 7, 2022 - Present

IRVING PLANNING & INVESTMENTS, LTD.

Office #1: 4901 E Dry Creek Rd Ste 130, Centennial, CO 80122
RIA
CRD#: 109978
Centennial, CO
Past

July 18, 2012 - November 29, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
LONE TREE, CO

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
Colorado
(12/7/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/7/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/29/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/9/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/22/2013
General Securities Sales Supervisor - Options Module Examination

Current Firm

IP
IRVING PLANNING & INVESTMENTS, LTD.
IRVING PLANNING & INVESTMENTS, LTD. | MICHAEL J. IRVING

CRD#: 109978 / SEC#: 801-63994

RIA
Registered Investment Advisory firm - (6/21/2012 Terminated)
Colorado
Registered Investment Advisory firm - (6/14/2012 Approved)
Texas
Registered Investment Advisory firm - (1/29/2021 Conditional Restricted)
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Contact information

Main Address
4901 E Dry Creek Rd Ste 130, Centennial, CO 80122
Mailing Address
Phone number
(303) 985-4100
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts340
AUM (Assets Under Management)$ 71,881,232

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.

Company Information

IRVING PLANNING & INVESTMENTS, LTD.

CRD#: 109978Centennial, CO 80122

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