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Allworth Financial, L.p. CRD 111167
$33.6B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-05-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Houston | TX | 06/2016 | 11/2016 |
| Wells Fargo Bank, Na | Houston | TX | 10/2014 | 04/2022 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 11/2016 | 04/2022 |
| Aw Securities | Houston | TX | 05/2022 | Present |
| Allworth Financial | Houston | TX | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-18 |
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