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Rodney Raymond Allain

Clearbridge Investments, LLC

New York, NY

Nashville, TN

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Current Employers
Clearbridge Investments, Llc

One Madison Avenue 18Th Floor, New York, NY 10010 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2021-06-03
  • TN RA
    APPROVED
    Since 2021-06-03

Branch Locations

One Madison Avenue 18Th Floor, New York, NY 10010 • United States

Nashville, TN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Annuities Distributors Shelton CT 07/2003 03/2017
Ast Investment Services Shelton CT 07/2003 03/2017
Advisory Consultant Brentwood TN 03/2017 04/2018
Franklin Distributors Llc Nashville TN 04/2018 Present
Legg Mason & Co Brentwood TN 04/2018 07/2021
Clearbridge Advisors New York NY 04/2018 Present
Putnam Retail Management Lp Nashville TN 01/2024 07/2024
  • 07/2003 → 03/2017
    Prudential Annuities Distributors
    Shelton, CT
  • 07/2003 → 03/2017
    Ast Investment Services
    Shelton, CT
  • 03/2017 → 04/2018
    Advisory Consultant
    Brentwood, TN
  • 04/2018 → Present
    Franklin Distributors Llc
    Nashville, TN
  • 04/2018 → 07/2021
    Legg Mason & Co
    Brentwood, TN
  • 04/2018 → Present
    Clearbridge Advisors
    New York, NY
  • 01/2024 → 07/2024
    Putnam Retail Management Lp
    Nashville, TN
Previous Registrations
  • 2006-03-20 → 2017-03-10
    Ast Investment Services, Inc.
    Shelton, CT
  • 2003-02-27 → 2004-03-24
    American Skandia Advisory Services, Inc.
    Shelton, CT
Other Businesses

CT Rental Property; Owner; managed through AirBnB; Beginning 9/1/2020; no time devoted.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-02
S63 Uniform Securities Agent State Law Examination 1997-09-04
  • S65 Uniform Investment Adviser Law Examination
    2001-07-02
  • S63 Uniform Securities Agent State Law Examination
    1997-09-04

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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