Allen Smith is a registered investment advisor at Osaic Institutions, INC., based in Cary, NC, with 35 years of industry experience. Allen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
315 N. Academy St., Cary, NC, 27513
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Regulatory History
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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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.Broker
Osaic Institutions, INC.
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
National Financial Services LLCBroker
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
Ironstone Securities, INC.Broker
First Citizens Investor Services, INC.Broker
Uvest Investment ServicesBroker
E. F. Hutton & Company INCBroker
State Registrations2 states
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.