First Allied Securities
Highly Engaged Employees
Highly Engaged EmployeesFinance · California, United States · 201-500 Employees
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Overview
Headquarters
655 W Broadway Fl 12, San Diego, Califor...Phone Number
(619) 702-9600Website
www.firstallied.comRevenue
$34 MillionIndustry
About First Allied Securities
First Allied Securities, Inc., headquartered in San Diego, California, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for failing to adequately supervise the sales of variable annuities, specifically L-share variable annuities. Registered with FINRA since 1994, First Allied Securities currently has 1,119 registered representatives and 491 branch offices. FINRA found that from January 2013 to December 2014, First Allied Securities failed to establish, maintain, and enforce an adequate supervisory system to identify red flags related to the sale of L-share variable annuities. Additionally, FINRA found that First Allied Securities failed to provide its registered representatives with proper training and guidance on suitability considerations for these variable annuities. According to FINRA, the L-share annuities are a complex investment product that is only suitable for a narrow class of investors and that First Allied SecRead more
First Allied Securities Org Chart
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Revenue
Number of Employees
Type
Funding
Founded In
First Allied Securities
$34M
201-500
Private
-
1994
TS
Thomas SamuelsonChief Investment Officer & Portfolio Manager
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First Allied Securities, Inc., headquartered in San Diego, California, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) for failing to adequately supervise the sales of variable annuities, specifically L-share variable annuities. Registered with FINRA since 1994, First Allied Securiti... Read More
