FIRST ALLIED ADVISORY SERVICES, INC.
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FIRST ALLIED ADVISORY SERVICES, INC.
(CRD# 137888)
is an SEC-Registered Investment Advisor (RIA), headquartered in
San Diego, CA.
The SEC approved the firm to operate as an RIA in
Jun 2006.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.0 Billion,
with discretion over
99%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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FIRST ALLIED ADVISORY SERVICES, INC.
also reported in
Mar 2019
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609
employees,
with
553
performing advisory functions.
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A total of 393 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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FIRST ALLIED ADVISORY SERVICES, INC. has one or more disclosure events currently on file with the SEC.
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FIRST ALLIED ADVISORY SERVICES, INC. has Notice Filings with the following State Securities Authorities:
AK-Jan 2007, AL-Jan 2007, AR-Jan 2007, AZ-Aug 2006, CA-Jun 2006
, CO-Jan 2007, CT-Jan 2007, DC-Jan 2007, DE-Jan 2007, FL-Jan 2007
, GA-Jan 2007, HI-Jan 2007, IA-Jan 2007, ID-Jan 2007, IL-Jun 2006
, IN-Jan 2007, KS-Jan 2007, KY-Jan 2007, LA-Jan 2007, MA-Jan 2007
, MD-Jan 2007, ME-Jan 2007, MI-Jan 2007, MN-Jan 2007, MO-Aug 2006
, MS-Jan 2007, MT-Jan 2007, NC-Jan 2007, ND-Jan 2007, NE-Jan 2007
, NH-Jan 2007, NJ-Jan 2007, NM-Jan 2007, NV-Jan 2007, NY-Jan 2007
, OH-Jan 2007, OK-Jan 2007, OR-Jan 2007, PA-Jan 2007, PR-Jan 2007
, RI-Jan 2007, SC-Jan 2007, SD-Jan 2007, TN-Jan 2007, TX-Jan 2007
, UT-Jan 2007, VA-Jan 2007, VT-Jan 2007, WA-Jan 2007, WI-Jan 2007
, WV-Jan 2007, WY-Aug 2017
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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