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Detailed Report
Allison K. Rawlings
ALLISON KIMBERLEY NIMETH, ALLISON KIMBERLEY RAWLINGS, ALLISON RAWLINGS
CRD#: 3040748
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 Phoenix, AZ
Registration History
200620082010201220142016201820202022202420262 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2022 (11 years)2 FIRMS2022 - Present (2 years)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2009 - 2009 (<1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2005 - 2009 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2005 - 2005 (<1 year)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2006 - 2009 (2 years)
Disclosure(s)
View By:
6/6/2019
Financial
Final
License(s)

State Registrations

B
Alabama 12/19/2022
B
Nebraska 12/13/2022
B
Alaska 12/21/2022
B
Nevada 1/6/2023
B
Arizona 12/16/2022
B
New Hampshire 12/22/2022
IA
Arizona 12/16/2022
B
New Jersey 12/16/2022
B
Arkansas 12/20/2022
B
New Mexico 12/19/2022
B
California 12/14/2022
B
New York 12/16/2022
B
Colorado 12/19/2022
B
North Carolina 12/14/2022
B
Connecticut 12/14/2022
B
North Dakota 12/19/2022
B
Delaware 12/20/2022
B
Ohio 12/13/2022
B
District of Columbia 12/20/2022
B
Oklahoma 12/20/2022
B
Florida 12/14/2022
B
Oregon 12/22/2022
B
Georgia 12/15/2022
B
Pennsylvania 12/15/2022
B
Hawaii 12/20/2022
B
Puerto Rico 12/19/2022
B
Idaho 12/14/2022
B
Rhode Island 12/20/2022
B
Illinois 1/9/2023
B
South Carolina 1/10/2023
B
Indiana 12/16/2022
B
South Dakota 1/3/2023
B
Iowa 12/13/2022
B
Tennessee 12/19/2022
B
Kansas 12/19/2022
B
Texas 12/14/2022
B
Kentucky 12/20/2022
IA
Texas 12/14/2022
B
Louisiana 12/20/2022
B
Utah 12/14/2022
B
Maine 12/15/2022
B
Vermont 12/19/2022
B
Maryland 12/14/2022
B
Virgin Islands 1/3/2023
B
Massachusetts 1/5/2023
B
Virginia 12/20/2022
B
Michigan 12/19/2022
B
Washington 12/19/2022
B
Minnesota 12/16/2022
B
West Virginia 12/20/2022
B
Mississippi 12/20/2022
B
Wisconsin 12/13/2022
B
Missouri 1/3/2023
B
Wyoming 1/4/2023
B
Montana 12/13/2022

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
Phoenix, AZ
180 W University Dr Floor 4, Tempe, AZ 85281
Registered with this firm since 12/14/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
Phoenix, AZ
180 W University Dr Floor 4, Tempe, AZ 85281
Registered with this firm since 12/13/2022
Previous Registration(s)
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IA
 03/28/2011 - 11/28/2022 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) FAIRFIELD, IA
B
 03/28/2011 - 11/28/2022 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) FAIRFIELD, IA
IA
 07/19/2010 - 02/18/2011 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) FAIRFIELD, IA
B
 07/16/2010 - 02/18/2011 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) FAIRFIELD, IA
B
 06/12/2009 - 07/27/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SCOTTSDALE, AZ
IA
 07/05/2006 - 05/06/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) PHOENIX, AZ
B
 10/31/2005 - 05/06/2009 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SCOTTSDALE, AZ
B
 10/04/2005 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.