John E. Allison

ALLISON INVESTMENT MANAGEMENT

COLUMBIA, SC 29201

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CRD#: 858095

Professional summary

John Edward Allison, CFA is a registered financial advisor currently at ALLISON INVESTMENT MANAGEMENT, LLC located in Columbia, South Carolina and OSAIC WEALTH, INC. located in Columbia, South Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. John has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 1, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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-ALLISON INVESTMENT MANAGEMENT LLC; INVESTMENT RELATED; 1201 LINCOLN ST., SUITE 301, COLUMBIA, SC 29201; FINANCIAL INDEPENDENT RIA; PRESIDENT AND MEMBER; 12/2002; 240 HOURS/MONTH; 10 HRS/DAY; COMPENSATION-DEPENDENT ON PROFITABILITY OF FIRM; MAKE DAY TO DAY DECISIONS CONCERNING OPERATIONS OF FIRM, INVESTMENT ALLOCATION OF MANAGED ACCOUNTS, AND RECOMMENDATIONS OF INVESTMENTS TO NON-MANAGED ACCOUNTS. 2)Financial Industry Regulatory Authority (FINRA);investment related;1735 K Street,Washington,DC 20006;non-profit financial regulatory authority;industry arbitrator;2004;1 hr/month;0 hrs during trading;serve on an arbitration panel to hear all sides of an investment industry related dispute,study evidence presented,and render a final and binding decision 3)Richardson,Patrick,Westbrook,Brickman,LLC;not investment related;2700 Middleburg Dr,Ste 220-D,Columbia,SC 29204;law firm;expert witness;4/24/2020;10-20 hrs one time;no set hours;act as expert witness for claimant in FINRA hearing. This will be a one-time appearance as an expert witness for this firm 4)Finkel Law Firm,LLC;not investment related;1201 Main St,Ste 1800,Columbia,SC 29201;general practice attorneys;expert witness;6/2021;5-10 hrs/one time;no set hours during trading;act as an expert witness in either a FINRA hearing or for plantiff in SC state court 5)SC Archaeological Research Trust;not investment related;1321 Pendleton St,2nd Floor,Suite 7,Columbia,SC 29201;non-profit trust with the University of South Carolina;board member;9/15/2022;6 hrs/month;1-2 hrs during trading;board member of the trust,review and qualify archaeological projects for funding,to promote archeology through the SC Institute for Archaeology and Anthropology(SCIAA) and to raise funds in support of SCIAA research

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Allison's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

March 25, 2009 - Present

ALLISON INVESTMENT MANAGEMENT, LLC

Office #1: 1201 Lincoln Street Suite 301, Columbia, SC 29201

RIA

CRD#: 124645

COLUMBIA, SC

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1201 Lincoln St. Suite 301, Columbia, SC 29201

RIA

CRD#: 23131

COLUMBIA, SC

Past

January 2, 2003 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

COLUMBIA, SC

Past

March 16, 1982 - January 16, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 22, 1981 - April 15, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

October 17, 1978 - April 18, 1983

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

ALLISON INVESTMENT MANAGEMENT, LLC

ALLISON INVESTMENT MANAGEMENT | ALLISON, JOHN EDWARD | ALLISON INVESTMENT MANAGEMENT, LLC

CRD#: 124645 / SEC#: 801-125959

RIA

Registered Investment Advisory firm - (6/24/2022 Approved)

North Carolina

Registered Investment Advisory firm - (6/28/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (6/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/27/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(8/23/2024)

New York
(8/23/2024)

IAR

North Carolina
(3/27/2009)

North Carolina
(8/23/2024)

Ohio
(8/23/2024)

Pennsylvania
(8/23/2024)

IAR

South Carolina
(3/25/2009)

South Carolina
(8/23/2024)

South Dakota
(8/23/2024)

Vermont
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/4/1996

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/8/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 10/7/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/15/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

ALLISON INVESTMENT MANAGEMENT, LLC

ALLISON INVESTMENT MANAGEMENT | ALLISON, JOHN EDWARD | ALLISON INVESTMENT MANAGEMENT, LLC

CRD#: 124645 / SEC#: 801-125959

RIA

Registered Investment Advisory firm - (6/24/2022 Approved)

North Carolina

Registered Investment Advisory firm - (6/28/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (6/27/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/27/2022 Terminated)

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Contact information

Main Address

1201 Lincoln Street Suite 301, Columbia, SC 29201

Mailing Address

Phone number

(803) 806-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIM WRAP BROCHURE (3/20/2025)

FORM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	248
AUM (Assets Under Management)	$ 138,205,000

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.

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Advisor Monitoring

Firm Stability Insights

John E. Allison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Allison's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

ALLISON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/1996

Series 65

Date: 4/8/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1981

Series 1

Date: 10/7/1978

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 3/15/1994

FINRA

Current Firm

ALLISON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLISON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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