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Allison Kay Faulk

Fidelity Brokerage Services LLC

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About Allison Kay Faulk

Allison Faulk is a registered representative with Fidelity Brokerage Services LLC. Allison has been working in the financial services industry since 2016. Allison is licensed in 52 states, as well as Puerto Rico. Allison holds Series 6, 7, 63, 65 and SIE licenses.

Firm Information

Allison Faulk is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

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.

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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Allison Faulk’s Registration & Firm History

KY

06/09/2022 - Present

Fidelity Brokerage Services LLC (COVINGTON KY)

AL

07/25/2016 - 08/27/2018

GWFS EQUITIES, INC. (MONTGOMERY AL)

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Licenses & Designations

BC

Issued 06/24/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/06/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/09/2022

Series 7TO - General Securities Representative Examination

BC

Issued 08/27/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/25/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Allison Kay Faulk.
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