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Allen Smith

Osaic Institutions, INC.
36 Years of Experience
Cary, NC
Broker
View SEC Summary
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Allen Smith is a registered investment advisor at Osaic Institutions, INC., based in Cary, NC, with 36 years of industry experience. Allen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
566 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

315 N. Academy St., Cary, NC, 27513

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Allen is the EVP of Wealth Management for First Bancorp, a retail commercial banking institution, dedicating full-time hours. He also acts as a consultant to Midwood Financial Services, a third-party marketing firm, dedicating minimal time to making introductions.

Employment History
Current Registrations
Osaic Institutions, INC.
December 2012 - Present · 13 yrs 10 mos
Osaic Institutions, INC.Broker
December 2012 - Present · 13 yrs 10 mos
Previous Registrations
LPL Financial LLCBroker
May 2012 - November 2012 · 6 mos
LPL Financial LLC
May 2012 - November 2012 · 6 mos
Sorrento Pacific Financial, LLC
October 2009 - September 2011 · 1 yr 11 mos
Sorrento Pacific Financial, LLCBroker
October 2009 - September 2011 · 1 yr 11 mos
National Financial Services LLCBroker
December 2007 - August 2009 · 1 yr 8 mos
Cuso Financial Services, L.P.
March 2007 - October 2007 · 7 mos
Cuso Financial Services, L.P.Broker
July 2006 - October 2007 · 1 yr 3 mos
Ironstone Securities, INC.Broker
July 2004 - December 2005 · 1 yr 5 mos
First Citizens Investor Services, INC.Broker
April 1998 - December 2005 · 7 yrs 8 mos
Uvest Investment ServicesBroker
October 1994 - June 1998 · 3 yrs 8 mos
E. F. Hutton & Company INCBroker
October 1980 - September 1986 · 5 yrs 11 mos
State Registrations2 states
NCSC
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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