No.of Employees

100-499

CRD#

2785186

Firm CRD#

111167

Name of Broker/Dealer

AW Securities

Name of Custodial Firm

TD Ameritrade

Work with the following types of clients

Individual Investors, Businesses

Advisory Services Provided

Retirement Planning, Tax Advice and Services, Estate Planning & Trusts

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Firm's Number of Clients

12,000

Assets Managed by Firm

$10,000,000,000

Fee Structure

Fee-Based

https://allworthfinancial.com/disclosures

Advisory services offered through Allworth Financial, a Registered Investment Advisor. Securities offered through AW Securities, a Registered Broker/Dealer, member FINRA/SIPC.