Allen Dale Smith

Osaic Institutions, INC.

35 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningEstate PlanningTax Planning

Osaic Institutions, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

546 advisors

Number of Clients

7,211 clients

Average Client Portfolio

$558K average

Assets Under Management

$4.0B

Fee Structure

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.

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.