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Allen Dale Smith

Osaic Institutions, Inc.

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About Allen Dale Smith

Allen Dale Smith is a financial advisor who has been in the industry since 1990. Allen is currently registered with Osaic Institutions, Inc. and has been with the firm since 2012. Allen is also registered with First Bancorp as EVP of Wealth Management. Previously Allen was a registered representative with LPL Financial LLC, Sorrento Pacific Financial, LLC, National Financial Services LLC, CUSO Financial Services, L.P., Ironstone Securities, Inc., First Citizens Investor Services, Inc. and UVEST Investment Services. Allen specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for individuals. Allen is also a consultant to Midwood Financial Services, a third-party marketing firm.

Firm Information

Allen Smith is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Allen Smith’s Registration & Firm History

NC

05/01/2019 - Present

Osaic Institutions, Inc. (Cary NC)

NC

05/28/2012 - 11/15/2012

LPL FINANCIAL LLC (SANFORD NC)

CA

10/02/2009 - 09/30/2011

SORRENTO PACIFIC FINANCIAL, LLC (SAN DIEGO CA)

GA

12/18/2007 - 08/18/2009

NATIONAL FINANCIAL SERVICES LLC (ATLANTA GA)

NC

07/13/2006 - 10/26/2007

CUSO FINANCIAL SERVICES, L.P. (WINSTON-SALEM NC)

NC

07/16/2004 - 12/15/2005

IRONSTONE SECURITIES, INC. (RALEIGH NC)

NC

04/16/1998 - 12/15/2005

FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)

NC

10/04/1994 - 06/29/1998

UVEST INVESTMENT SERVICES (CHARLOTTE NC)

NA

10/24/1980 - 09/16/1986

E. F. HUTTON & COMPANY INC

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Licenses & Designations

BOTH

Issued 03/08/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/19/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/30/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/18/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Allen Dale Smith.
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