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CFP

Niki Gray

Allstate Financial Advisors, LLC
24 Years of Experience
Yardley, PA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Niki Gray is a CFP-designated registered investment advisor at Allstate Financial Advisors, LLC, based in Yardley, PA, with 24 years of industry experience. Niki is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 397 clients with $140M in assets under management.

Allstate Financial Advisors, LLC
Compensation
N/A
Firm Size
326 advisors
Number of Clients
397 clients
Average Client Portfolio
$359K average
Assets Under Management
$142.4M

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.35%
$500K - $1.0M1.25%
$1.0M - $2.0M1.15%
$2.0M - $5.0M1.00%
$5M+0.80%

Fees represent maximum rates across available programs (Fund Strategist Portfolios and Unified Managed Accounts). Investment advisory representatives are permitted to negotiate a reduction in the advisory fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

405 Floral Vale Blvd, Yardley, PA, 19067-5526

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
November 2018
Customer Dispute
October 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Niki works as a Personal Financial Counselor at Magellan Federal, providing financial counseling and education to service members and their families. This takes minimal time.

Employment History
Current Registrations
Allstate Financial Advisors, LLC
March 2019 - Present · 7 yrs 7 mos
Allstate Financial Services, LLC
March 2019 - Present · 7 yrs 7 mos
Allstate Financial Services, LLCBroker
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
April 2017 - November 2018 · 1 yr 7 mos
Raymond James Financial Services, INC.Broker
April 2017 - November 2018 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2002 - April 2017 · 14 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2002 - April 2017 · 14 yrs 10 mos
Quick & Reilly, INC.Broker
May 2002 - June 2002 · 1 mo
State Registrations8 states
AZCADEFLMDPAVAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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