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FIRST ALLIED ADVISORY SERVICES, INC.
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% .  
 
FIRST ALLIED ADVISORY SERVICES, INC. also reported in Mar 2019
  • 609 employees, with 553 performing advisory functions.
  • A total of 393 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
FIRST ALLIED ADVISORY SERVICES, INC. has one or more disclosure events currently on file with the SEC.
 

View FIRST ALLIED ADVISORY SERVICES, INC.'s most recent Form ADV filing
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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


Disclaimer: 
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 RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


irban43
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