FIRST ALLIED SECURITIES, INC. — FINRA BrokerCheck

FIRST ALLIED SECURITIES, INC. ⚠ Disclosure events INACTIVE IA

FINRA firm 32444 · SAN DIEGO, CA · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID

32444

Firm name

FIRST ALLIED SECURITIES, INC.

Other names / DBAs

4.0 INVESTMENT MANAGEMENT; GUIDANT PLANNING, INC; GREENVILLE FINANCIAL GROUP, LLC; GREENSIDE FINANCIAL, LTD; GREENBOOK FINANCIAL SERVICES; GORDON H. DICKINSON & CO.; GOLDEN HILLS CAPITAL, LLC; GLOBAL WEALTH PARTNERS; GLOBAL INVESTMENT ADVISORS, INC.; GILBERT CAPITAL MANAGEMENT; GENWEALTH; GENERATIONAL WEALTH MANAGEMENT; GEMINI WEALTH ADVISORS; GARMAN INVESTMENT GROUP; GALLAGHER FINANCIAL GROUP, LLC; FULL CIRCLE INVESTMENT ADVISORS; FREEDOM WEALTH MANAGEMENT; FRED LA MARCA - INSURANCE AGENT; FRCT, LLC; FRCT WEALTH MANAGEMENT GROUP; FRANK JOINER, INC.; FOUR COLUMN INVESTMENT SERVICES; FORTRESS FINANCIAL STRATEGIES LLC; FIRST FINANCIAL ADVISORY SERVICES; FIRST CAPITAL MANAGEMENT & INSURANCE, LLC; FIRST ALLIED WEALTH MANAGEMENT, INC.; FIRST ALLIED WEALTH MANAGEMENT PRIVATE CLIENT SERVICES; FIRST ALLIED WEALTH MANAGEMENT CONSULTING GROUP; FIRST ALLIED WEALTH MANAGEMENT; FIRST ALLIED SECURITIES, INC.; FIRST ALLIED FINANCIAL OF FLORIDA; FIRST ALLIED; FINANCIAL FOUNDATIONS, INC.; FINANCIAL DIRECTIONS GROUP, INC.; FINANCIAL ADVISORY CORPORATION; FINANCIAL ADVISORS SECURITY CORP.; FINANCIAL ADVISORS SECURITIES CORP.; FINANCIAL ADVISORS PLUS, LLC; FFG FISCH FINANCIAL GROUP; FARLEY PLANNING GROUP, INC.; FAMILY WEALTH MANAGEMENT; EVYAVAN ADVISORY SERVICES, LLC; EVERETT FINANCIAL GROUP; ETHOS WEALTH MANAGEMENT; ESSEX CAPITAL ADVISORS; EMPOWERMENT FINANCIAL GROUP, LLC; ELLISON WEALTH MANAGEMENT; ELLISON NOONAN WEALTH MANAGEMENT; EG WILLIAMS FINANCIAL ADVISORS; ED MARTELL & ASSOCIATES; EAGLE WEALTH MANAGEMENT; EAGLE MANAGEMENT, INC.; DUVAL CAPITAL; DUDURICH INVESTMENT ASSOCIATES; DPM CORP; DNH CAPITAL; DIAMOND WEALTH MANAGEMENT; DH CAPITAL MANAGEMENT; DESIMONE FINANCIAL & INSURANCE SERVICES; DEMOAKS PLANNING SERVICES, LTD; DELTA VENTURES FINANCIAL COUNSEL; DEAMOAKS PLANNING SERVICES; DAVE GOTTSCHALK FINANCIAL; DANIEL E. SUTTON, CFP; D R SUMMIT WEALTH MANAGEMENT; CROWN INVESTMENT SERVICES; CROSSWATER; CRESCENT CAPITAL MANAGEMENT, LLC; CREATIVE WEALTH STRATEGIES; CREATIVE CAPITAL WEALTH MANAGEMENT GROUP; CRANE INVESTMENTS; COUYOUMJIAN ASSET MANAGEMENT; CONSOLIDATED WEALTH PARTNERS, LLC; COMPASS FINANCIAL SERVICES, INC.; COE FINANCIAL GROUP, INC.; CLOVERLEAF FINANCIAL GROUP; CHIP COUGHLIN & CO.; CHESTNUT INVESTMENT GROUP; CHARLES R DUNN INVESTMENT ADVISORS; CENTURY FINANCIAL ADVISORS; CAUSEY WEALTH MANAGEMENT; CATAPULT CAPITAL MANAGEMENT; CASSEDY FINANCIAL GROUP, INC.; CARLTON MACLACHLAN, LLC; CARD INVESTMENT GROUP; CAPKO CAPITAL MANAGEMENT, LLC; CAPITOL DEVELOPMENT GROUP; CAPITAL ROCK ADVISORS; CAPITAL INVESTMENT MANAGEMENT; CAPITAL ASSET MONITORING LLC; CAPITAL ASSET MANAGEMENT; CAP PARTNERS; CAMBRIDGE FINANCIAL GROUP LLC; CALIFORNIA RETIREMENT ADVISORS; CADUCEUS CONSULTING; BYERLY WEALTH MANAGEMENT; BULL CHIP; BUCCI WEALTH MANAGEMENT, LLC; BROOKS INVESTMENT GROUP; BROOKS FINANCIAL SERVICES; BIERMAIER FINANCIAL MANAGEMENT; BIERMAIER & MCMAHON FINANCIAL MANAGEMENT LLC; BIAGINI GRASSI ADVISORY GROUP, LLC; BH WEALTH MANAGEMENT; BERKELEY WEALTH PROFESSIONALS, PLLC; BAUGHMAN WEALTH ADVISORS, INC; BAUGHMAN FINANCIAL GROUP; BAUER FINANCIAL SERVICES; BAKER & COMPANY ADVISORY GROUP, INC.; BAHARY FINANCIAL GROUP; BAAM SECURITIES AND WEALTH MANAGEMENT, LLC; AW WEALTH ADVISORY; AVEY & GRAVES WEALTH MANAGEMENT; ASSET PLANNING STRATEGIES; ARMSTRONG & ASSOCIATES; ARCHE WEALTH MANAGEMENT; APPLE INVESTMENT MANAGEMENT, LLC; APEX WEALTH MANAGEMENT; ANIMAS CAPITAL MANAGEMENT; ANALYTIC WEALTH STRATEGIES; AMWELL RIDGE WEALTH MANAGEMENT; ALPHA INVESTMENT SERVICES; ALLIANCE WEALTH MANAGEMENT; ALEXANDER FINANCIAL SERVICES, INC.; ALCOSTA CAPITAL MANAGEMENT; AIM GROUP; AFG WEALTH MANAGEMENT; AEQUTIS PRIVATE WEALTH MANAGEMENT; ADVANCED WEALTH STRATEGIES, LLC; ADVANCED WEALTH PLANNING; ADVANCED FINANCIAL SERVICES; ADVANCED EQUITIES WEALTH MANAGEMENT PRIVATE CLIENT SERVICES; ADVANCED CORPORATE PLANNING; ADAMS FINANCIAL SERVICES, PA; ADAMS FINANCIAL SERVICES, P.A.; A.D.N. WEALTH MANAGEMENT GROUP; A. PORTER ROCKWELL, INC.; A-1 FINANCIAL; 401(K) ALLIANCE...

IA scope

INACTIVE

SEC IA file

801-47805

SEC BD file

8-46167

Branches

Disclosure events

YES

SAN DIEGO, CA, 92101-8114, United States

FIRST ALLIED SECURITIES, INC. ⚠ Disclosure events INACTIVE IA

Key facts

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