Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allison? Claim Your ProfileAllison Elizabeth Smith is a registered representative with Principal Securities, Inc. and has been working in the financial services industry since 2018. Allison is registered to conduct business in Iowa. Allison has Series 4, 6, 7TO, 52TO, 24, 53, and 66 securities licenses. Allison provides financial planning and portfolio management services to individuals and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
06/07/2021 - Present
Principal Securities, Inc. (DES MOINES IA)
IA
09/21/2018 - 05/29/2019
PRINCIPAL SECURITIES, INC. (DES MOINES IA)
BOTH
Issued 06/04/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/19/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/20/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/03/2021
Series 24 - General Securities Principal Examination
BC
Issued 10/31/2022
Series 52TO - Municipal Securities Representative Examination
BC
Issued 12/14/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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