Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allison? Claim Your ProfileAllison Tarpley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Allison has been in the securities industry since 1999 and has experience in a range of areas including portfolio management for businesses and individuals, pension consulting, and educational seminars. Allison is a registered representative with FINRA and is registered in 53 states and territories. Allison was previously affiliated with UBS Financial Services Inc. and A. G. Edwards & Sons, Inc.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
10/18/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MCKINNEY TX)
TX
08/24/2007 - 10/27/2014
UBS FINANCIAL SERVICES INC. (MCKINNEY TX)
TX
08/14/1999 - 08/29/2007
A. G. EDWARDS & SONS, INC. (MCKINNEY TX)
BC
Issued 08/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/04/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/24/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2015
Series 3 - National Commodity Futures Examination
BC
Issued 08/12/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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