First Allied Securities
Finance · 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
ZI Rank: 1
Signal Type
Dec
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ZI Rank
2
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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
$728.5M
501-1,000
Private
-
1996
KK
Kevin KrausVice President, RIA Strategy and Growth, Chief of Staff To Head of RIA Channel
Company Profile Activity
Activity Insights
First Allied Securities is experiencing very low activity levels compared to other companies in the Finance sector.
What does this means?
First Allied Securities is drawing exceptional interest within the Finance industry, suggesting notable developments or strong market momentum, learn more about First Allied Securities.
First Allied Securities Tech Stack
A closer look at the technologies used by First Allied Securities
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Most Recent Scoops
Project
An internal source has indicated that the organization is planning to begin initiatives related to financial reporting within three months. First Allied Securities is currently evaluating vendors to support these efforts.
Financial Systems
Pain Point
Project
An internal source has indicated that the organization is planning to remediate challenges related to workforce planning.
Project
An internal source has indicated that the organization is planning to begin initiatives related to asset management within three months. First Allied Securities is currently evaluating vendors to support these efforts.
Asset Management
Pain Point
Project
An internal source has indicated that the organization is planning to remediate challenges related to forecasting.
Analytics & Insights, Forecasting
Project
CRM, Customer Engagement, Sales
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Frequently Asked Questions Regarding First Allied Securities
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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
