AF
Alison A. Farrin
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
Carlsbad, CA 92010
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CRD#: 703088
AF
Professional summary
Alison Ann Farrin, who also goes by Alison Ann Gendreau, Alison Ann Newdigate, is a registered financial advisor currently at DBA SEASIDE FINANCIAL & INSURANCE SERVICES located in Carlsbad, California.
Alison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Alison has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alison Ann Gendreau | Alison Ann Newdigate
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.
PRESIDENT, INNOVATIVE PENSION STRATEGY & DESIGN, SINCE 9/1990. 14251 DANIELSON ST. POWAY, CA. TITLE-PRESIDENT. DUTIES-PENSION DESIGN & ADMIN. 160 HOURS/MONTH.
BUILDING OWNER/MEMBER, SCRIPPS POWAY OFFICE PARK WEST, NOT INVESTMENT RELATED.
PROPERTY MANAGER
WHITE KNIGHT PENSION CONSULTING, INC.
REMEDIAL PENSION ADMIN, TITLE-ADMINISTRATOR, INNOVATIVE INVESTMENT STRATEGIES, INC. NOT INVESTMENT.
INSURANCE COMMISSIONS, TITLE, VICE PRESIDENT, AGENT OF RECORD.
SEASIDE ADVISORY, INVESTMENT RELATED [RIA] DUTIES, CONSULTING
AFORTUNADO PARTNERS. SINCE 07/2003. NOT INVESTMENT-RELATED.14251 DANIELSON ST., POWAY, CA. BUILDING OWNER/MEMBER. 2 HR/MO.
SCRIPPS POWAY OFFICE PARK WEST. SINCE 10/2003. NOT INVESTMENT-RELATED. PROPERTY MANAGER - 1 HOUR PER MONTH.
401K PROFESSIONAL ADVISORS - 14251 DANIELSON ST. POWAY, CA 92064. 10 HRS/MO. REMEDIAL PENSION ADMIN. TITLE-ADMINISTRATOR. 10 HOURS/MONTH.
INNOVATIVE INVESTMENT STRATEGIES, INC. SINCE 10/1990. NOT-INVESTMENT-RELATED. 14251 DANIELSON STREET, POWAY, CA. INSURANCE COMMISSIONS. TITLE-VICE PRESIDENT. DUTIES-AGENT OF RECORD, HR. 3 HOURS/MONTH.
SEASIDE ADVISORY. SINCE 11/2011. INVESTMENT-RELATED. 209 N. DITMAR, OCEANSIDE, CA. RIA. TITLE-ASSOCIATE. DUTIES-CONSULTING. 5-7 HOURS/MONTH.
ALISON FARRIN CONSULTING SERVICES; CONSULTANT; CONDUCT EDUCATIONAL SEMINARS FOR PARTICIPANTS TO HELP THEM UNDERSTAND THE TERMINOLOGY USED FOR 401(K)'S.; 12975 BROOKPRINTER PLACE SUITE 200 POWAY CA 92064; HELPS PARTICIPANTS IN 401(K) PLANS UNDERSTAND THE TERMINOLOGY AND HOW A 401(K) WORKS. ; 2019-01-01; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 5; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 5
CRS (Client Relationship Summary) - RIA
Click below to view Alison Ann Farrin'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®
NoneExperience
Current
January 3, 2018 - Present
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
Office #1: 2888 Loker Ave East Suite 110, Carlsbad, CA 92010RIA
CRD#: 289985
Carlsbad, CA
Past
August 28, 2014 - December 31, 2016
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
Carlsbad, CA
Past
January 4, 2012 - May 23, 2018
SEASIDE FINANCIAL & INSURANCE SERVICES
RIA
CRD#: 132929
CARLSBAD, CA
Past
November 28, 2011 - August 21, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
CARLSBAD, CA
Past
December 4, 2002 - July 29, 2011
WFP SECURITIES
BD
CRD#: 35098
SAN DIEGO, CA
Past
May 17, 1995 - December 16, 2002
LIFEMARK SECURITIES CORP.
BD
CRD#: 16204
ROCHESTER, NY
Past
December 14, 1992 - May 16, 1995
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
November 21, 1984 - January 20, 1986
SECURITIES RESOURCE GROUP, LTD.
BD
CRD#: 6037
Past
June 16, 1982 - May 31, 1983
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
BD
CRD#: 32
Past
April 5, 1982 - June 17, 1982
EMMETT A LARKIN COMPANY, INC.
BD
CRD#: 6625
Past
December 9, 1980 - March 26, 1982
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
Past
January 3, 1980 - October 30, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
DS
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
DBA SEASIDE FINANCIAL & INSURANCE SERVICES | SEASIDE ADVISORY SERVICES, INC. | SEASIDE ADVISORY
CRD#: 289985 / SEC#: 801-112721
RIA
Registered Investment Advisory firm - (3/30/2018 Approved)California
Registered Investment Advisory firm - (9/25/2025 Approved)New York
Registered Investment Advisory firm - (10/17/2025 Approved)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)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(1/3/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DS
DBA SEASIDE FINANCIAL & INSURANCE SERVICES
DBA SEASIDE FINANCIAL & INSURANCE SERVICES | SEASIDE ADVISORY SERVICES, INC. | SEASIDE ADVISORY
CRD#: 289985 / SEC#: 801-112721
RIA
Registered Investment Advisory firm - (3/30/2018 Approved)California
Registered Investment Advisory firm - (9/25/2025 Approved)New York
Registered Investment Advisory firm - (10/17/2025 Approved)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2888 Loker Ave East Suite 110, Carlsbad, CA 92010
Mailing Address
Phone number
(760) 433-4632
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 354 |
| AUM (Assets Under Management) | $ 79,012,871 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
