Robert Thomas Allison

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2024-01-10
KS	RA	APPROVED	2021-07-21
TX	RA	APPROVED	2021-07-21

KY RA
APPROVED

Since 2024-01-10
KS RA
APPROVED

Since 2021-07-21
TX RA
APPROVED

Since 2021-07-21

Branch Locations

3038 Breckenridge Lane Suite 101, Louisville, KY 40220 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Waddell & Reed	Louisville	KY	02/2016	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Louisville	KY	02/2016	07/2021
Lpl Financial Llc	Louisville	KY	07/2021	Present

02/2016 → 07/2021

Waddell & Reed

Louisville, KY
02/2016 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Louisville, KY
07/2021 → Present

Lpl Financial Llc

Louisville, KY

Previous Registrations

2016-07-22 → 2021-07-21

Waddell & Reed

Louisville, KY

Louisville, KY

Charleroi, PA

Other Businesses

02/2016-Present, Various Insurance Carriers for W&R Insurance Agencies, Louisville, KY, Investment Related, Insurance Sales, Insurance Agent

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-07-22
S63	Uniform Securities Agent State Law Examination	2016-05-05

S65 Uniform Investment Adviser Law Examination

2016-07-22
S63 Uniform Securities Agent State Law Examination

2016-05-05

Other Names

Robert Thomas Allison
Robby Allison
Robert Thomas Allison

View on SEC IAPD