Allison Clago is a registered investment advisor, based in Tarzana, CA, with 40 years of industry experience.
Location
Tarzana, CA
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Regulatory History (3)
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Employment Separation After Allegations
December 2015Customer Dispute
January 2000Closed-No Action
Criminal
December 1981Final Disposition
Other Business ActivitiesSells Insurance
Allison is a board member at Providence Cedars Sinai Tarzana Medical Center and president of the Clago Family Foundation, dedicating minimal time and a few hours per week, respectively. She is also an insurance agent selling fixed insurance through B. Riley Wealth Insurance, spending a few hours per week on this activity.
Employment History
Current Registrations
B. Riley Wealth Management
July 2022 - Present · 3 yrs 9 mos
B. Riley Wealth ManagementBroker
July 2022 - Present · 3 yrs 9 mos
B. Riley Wealth Advisors, INC.
July 2019 - Present · 6 yrs 9 mos
Previous Registrations
National Securities CorporationBroker
July 2019 - July 2022 · 3 yrs
Wedbush Securities INC.Broker
January 2016 - June 2019 · 3 yrs 5 mos
Wedbush Securities INC.
January 2016 - June 2019 · 3 yrs 5 mos
Stockcross Financial Services
December 2008 - December 2015 · 7 yrs
Stockcross Financial Services, INC.Broker
January 2007 - December 2015 · 8 yrs 11 mos
TD Ameritrade, INC.
September 2003 - December 2006 · 3 yrs 3 mos
TD Securities (USA) INC.Broker
January 1998 - June 2001 · 3 yrs 5 mos
TD Ameritrade, INC.Broker
November 1997 - December 2006 · 9 yrs 1 mo
Kennedy, Cabot & CO.Broker
July 1987 - November 1997 · 10 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1985 - July 1987 · 1 yr 10 mos
State Registrations30 states
ALAZCACOCTDCFLHIINKSLAMAMDMNMTNCNENHNMNVNYOHOKORPATNTXUTVAWA
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.