Allison R Barden

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
SC	RA	APPROVED	2020-11-18

NY RA
APPROVED

Since 2021-08-03
SC RA
APPROVED

Since 2020-11-18

Branch Locations

Cortland, NY • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Dewitt	NY	06/2013	12/2016
Morgan Stanley	Syracuse	NY	01/2017	08/2018
Cadaret, Grant & Co., Inc.	Syracuse	NY	08/2018	11/2020
Lpl Financial Llc	Cortland	NY	11/2020	Present

06/2013 → 12/2016

Wells Fargo Advisors Llc

Dewitt, NY
01/2017 → 08/2018

Morgan Stanley

Syracuse, NY
08/2018 → 11/2020

Cadaret, Grant & Co., Inc.

Syracuse, NY
11/2020 → Present

Lpl Financial Llc

Cortland, NY

Previous Registrations

2018-08-10 → 2020-11-11

Cadaret, Grant & Co., Inc.

Syracuse, NY
2017-01-19 → 2018-08-06

Morgan Stanley

Syracuse, NY
2014-02-05 → 2016-12-06

Wells Fargo Clearing Services, Llc

Dewitt, NY

Other Businesses

1. 2/25/2021 - IMS Precision - Not Investment Related - Other-Business Owner - Started 1/01/2007 - 0 Hours Per Month - Time Spent 0% - Manufacturing Family Business. 2. 2/25/2021 - Lone Birch Stables - Not Investment Related - Outside/W-2 Employment - Riding Instructor - Started 12/01/2017 - 16 Hours Per Month.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-04-24
S63	Uniform Securities Agent State Law Examination	2010-06-16

S65 Uniform Investment Adviser Law Examination

2015-04-24
S63 Uniform Securities Agent State Law Examination

2010-06-16

View on SEC IAPD