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Allison Claire Modrak

Allison C. Modrak

Some features on this profile are disabled
CRD#: 6830967
Allison Claire Modrak

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Allison Claire Modrak, CFP®, who also goes by Allison C Mann, Allison Claire Mann, Allison Mann, was a registered financial professional .

Allison is a previously registered financial professional and started their career in finance in 2020. Allison had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allison C Mann | Allison Claire Mann | Allison Mann

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)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Start date: 2023

Experience

Past

February 13, 2024 - January 5, 2026

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
PHOENIX, AZ
Past

February 13, 2024 - January 5, 2026

AW SECURITIES

BD
CRD#: 103747
PHOENIX, AZ
Past

May 24, 2022 - February 13, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
SEATTLE, WA
Past

May 24, 2022 - February 13, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SEATTLE, WA
Past

April 19, 2021 - January 7, 2022

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

RIA
CRD#: 38357
STEVENS POINT, WI
Past

October 21, 2020 - January 7, 2022

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

BD
CRD#: 38357
STEVENS POINT, WI
Past

June 1, 2020 - October 30, 2020

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI

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".
ALLWORTH FINANCIAL, L.P.
ALLWORTH FINANCIAL, L.P.
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL

CRD#: 111167 / SEC#: 801-68255

RIA
Registered Investment Advisory firm - (8/27/2007 Approved)
California
Registered Investment Advisory firm - (8/30/2007 Terminated)
Georgia
Registered Investment Advisory firm - (8/29/2007 Terminated)
Illinois
Registered Investment Advisory firm - (8/29/2007 Terminated)
Texas
Registered Investment Advisory firm - (8/29/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - (8/29/2007 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/19/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/1/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/17/2019
Securities Industry Essentials Examination

Current Firm

ALLWORTH FINANCIAL, L.P.
ALLWORTH FINANCIAL, L.P.
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL

CRD#: 111167 / SEC#: 801-68255

RIA
Registered Investment Advisory firm - (8/27/2007 Approved)
California
Registered Investment Advisory firm - (8/30/2007 Terminated)
Georgia
Registered Investment Advisory firm - (8/29/2007 Terminated)
Illinois
Registered Investment Advisory firm - (8/29/2007 Terminated)
Texas
Registered Investment Advisory firm - (8/29/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - (8/29/2007 Terminated)
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Contact information

Main Address
340 Palladio Pkwy. Suite 501, Folsom, CA 95630
Mailing Address
Phone number
(916) 482-2196
Established
Firm type
Fiscal year end
# of Employees
466

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (12/11/2025)
FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts64,930
AUM (Assets Under Management)$ 25,097,132,975

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/09/2025
Cover Page
Report
02/05/2025
Cover Page
Report

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

ALLWORTH FINANCIAL, L.P.

ALLWORTH FINANCIAL, L.P.

CRD#: 111167

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