Category: First Allied Securities

William David Carlton (Bill Carlton) (CRD#: 1215541) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1983 and previously worked with Foster & Marshall Inc.; Lehman Brothers Inc.; Smith Barney Shearson Inc.; Prudential Securities Incorporated; First Montauk Securities Corp.; First Allied Securities, Inc.; and Cetera Advisors, LLC. Allegations […]

Brain Donnelly (CRD#: 4288121) was previously registered as a Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2001 and previously worked for First Allied Securities Inc.; Triad Advisors, Inc.; and ING Financial Advisors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Edward Yoon (CRD#: 2408137) is a registered Broker at First Allied Securities, Inc. in Pasadena, CA. Broker’s Background He entered the securities industry in 1994 and previously worked for First Allied Advisory Services, Inc.; First Allied Securities, Inc.; UBS Financial Services, Inc.; D.A. Davidson & Co.; Piper Jaffray, Inc.; Prudential Securities, Inc.; and Painewebber, Inc. […]

David Kennon (CRD#: 4459476) is an investment adviser and previously registered stockbroker. Broker’s Background David Kennon entered the securities industry in 2001 and previously worked for First Allied Securities, Inc.; Woodbury Financial Services, Inc.; and AXA Advisors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Terry Anderson (CRD # 2374045) was a Financial Advisor at First Allied Securities in Parker, Colorado. In February 2020, Terry Anderson was terminated by First Allied Securities for “ Failure to report a customer complaint and attempting to settle the complaint directly with the customer.” Terry Anderson has been in the securities industry since 1994 […]