AS
Allen D. Smith
OSAIC INSTITUTIONS
Cary, NC 27513
Some features on this profile are disabled
CRD#: 717495
AS
Professional summary
Allen Dale Smith, who also goes by Allen D. Smith, Allen Dale Smith Jr, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Cary, North Carolina.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Allen has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allen D. Smith | Allen Dale Smith Jr
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) EVP OF WEALTH MANAGEMENT FOR FIRST BANCORP, RETAIL COMMERCIAL BANKING, FULL-TIME HEAD OF WEALTH MMGT. STARTED OM 8/15/2011, ADDRESS: FIRST BANK 402 E WILLIAMS ST. APEX, NC 27502
2) CONSULTANT TO MIDWOOD FINANCIAL SERVICES; THIRD PARTY MARKETING FIRM. START DATE 01/2006, 1/2 MONTHLY, 1/2 MONTHLY DURING MARKET TRADING HOURS, MAKE INTRODUCTIONS FROM TIME TO TIME - ADDRESS: 16000 VENTURA BLVD - STE 500, ENCINO CA 91436
CRS (Client Relationship Summary) - RIA
Click below to view Allen Dale Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Allen Dale Smith'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
December 13, 2012 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 315 N. Academy St., Cary, NC 27513Office #2: 2170 W. Evans St, Florence, SC 29501RIA
BD
CRD#: 35371
Cary, NC
Current
December 13, 2012 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 315 N. Academy St., Cary, NC 27513Office #2: 2170 W. Evans St, Florence, SC 29501RIA
BD
CRD#: 35371
Cary, NC
Past
May 28, 2012 - November 15, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
SANFORD, NC
Past
May 17, 2012 - November 15, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANFORD, NC
Past
October 5, 2009 - September 30, 2011
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
ATLANTA, GA
Past
October 2, 2009 - September 30, 2011
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
December 18, 2007 - August 18, 2009
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
ATLANTA, GA
Past
March 12, 2007 - October 26, 2007
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
WINSTON-SALEM, NC
Past
July 13, 2006 - October 26, 2007
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
WINSTON-SALEM, NC
Past
July 16, 2004 - December 15, 2005
IRONSTONE SECURITIES, INC.
BD
CRD#: 130335
RALEIGH, NC
Past
April 16, 1998 - December 15, 2005
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
October 4, 1994 - June 29, 1998
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
October 24, 1980 - September 16, 1986
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
North Carolina(12/13/2012)
IAR
North Carolina(12/13/2012)
RR
South Carolina(4/30/2019)
IAR
South Carolina(5/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371Cary, NC 27513TRUST BUT VERIFY
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