ALLOCATIONS SECURITIES

Broker-DealerFINRA MemberEst. 2022
Total AUM
Advisory reps
3
Avg account
$0

Firm details

Headquarters
SANTA ROSA, California
CRD number
317750
Registered since
December 21, 2022

Firm profile

FINTRX

Overview

Allocations Securities, LLC is an SEC-registered advisory firm that appears in public records with registration effective in 2022. The firm is organized as a limited liability company and is listed as having both a domestic entity and an individual as owners. The firm's profile is sparse: it is categorized as "unclassified" and is not marked as a capital allocator, active ESG investor, multi-state adviser, pension consultant, or related adviser. FINTRX data does not disclose the firm's fee arrangements, specific advisory activities, client segments, or broader business lines.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • KURT NUNEZ

    Chief Compliance OfficerCRD 4327653

  • JAMES RICHARDS

    Chief Financial OfficerCRD 2680389

Contacts

1 of 1
  • RICHARD THOMS

    DirectorCRD 6292727

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

SANTA ROSA, CA

SONOMA

Location

SANTA ROSA, CA

Headquartered in SANTA ROSA, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
SONOMA
Address
3558 Round Barn Blvd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth