First Allied Advisory Services is an investment advisor in San Diego with $7.00 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
204187012
SEC advisor number
801-66653
FINRA CRD number
137888
AUM ?
$7.00 bn
(as of 16 Nov 20)
Accounts
29,608
(as of 16 Nov 20)
Employees
564
(510 investment advisory or research)
Address
First Allied Advisory Services
655 W. BROADWAY 12TH FLOOR
SAN DIEGO
CA 92101
655 W. BROADWAY 12TH FLOOR
SAN DIEGO
CA 92101
Office hours
Monday - Friday, 8:00AM - 5:00PM
Phone
619-881-5148
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
First Allied Holdings Inc. | Sole Shareholder | 11/2011 | > 75% |
Fas Holdings, Inc. | Sole Shareholder | 10/1994 | > 75% |
Aretec Group, Inc. | Sole Member | 04/2014 | > 75% |
Harrison, Brett, Lamar | CEO | 03/2017 | < 5% |
Shelson, Mark, Paul | Treasurer | 07/2016 | < 5% |
Smiley, Stanley, Robert | Vice President | 07/2016 | < 5% |
Olson, Gregory, Edward | Assistant Secretary | 07/2016 | < 5% |
Schott, Mary, Frances | President | 03/2018 | < 5% |
Bregozzo, Matthew, Gregory | Chief Compliance Officer | 10/2018 | < 5% |
Cetera First Holdings, Inc. | Sole Member | 02/2018 | > 75% |
Neary, Joseph, Daniel | Manager/director | 05/2019 | < 5% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
13 Nov 20
13F-HR
Quarterly holdings report by institutional manager
13 Aug 20
13F-HR
Quarterly holdings report by institutional manager
8 May 20
13F-HR
Quarterly holdings report by institutional manager
10 Feb 20
13F-HR
Quarterly holdings report by institutional manager
6 Nov 19
13F-HR
Quarterly holdings report by institutional manager
12 Aug 19
13F-HR
Quarterly holdings report by institutional manager
6 May 19
13F-HR
Quarterly holdings report by institutional manager
15 Feb 19
13F-HR/A
Quarterly holdings report by institutional manager (amended)
3 Jan 19
13F-HR
Quarterly holdings report by institutional manager
14 Nov 18