FIRST ALLIED SECURITIES, INC.
CRD #32444 SEC #801-47805 SAN DIEGO, CA 619-702-9600
SEC Registered Broker-Dealer Disclosures
Total AUM
--
Discretionary
--
Employees
1
Clients
--
Accounts
--
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Nov 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Oct 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Jul 2013 | $0 | $0 | $0 | 18 | 11,100 |
| May 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Apr 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Feb 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Jan 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Jan 2013 | $0 | $0 | $0 | 18 | 11,100 |
| Nov 2012 | $0 | $0 | $0 | 18 | 11,100 |
| Oct 2012 | $0 | $0 | $0 | -- | 11,100 |
| Sep 2012 | $0 | $0 | $0 | -- | 11,100 |
| Apr 2012 | $2.4B | $1.8B | $542.9M | -- | 11,100 |
| Mar 2012 | $2.4B | $1.8B | $542.9M | -- | 11,100 |
| Mar 2012 | $2.4B | $1.8B | $542.9M | -- | 11,100 |
| Dec 2011 | $2.5B | $2.1B | $432.5M | -- | 9,500 |
| Dec 2011 | $2.5B | $2.1B | $432.5M | -- | 9,500 |
| Dec 2011 | $2.5B | $2.1B | $432.5M | -- | 9,500 |
| Nov 2011 | $2.5B | $2.1B | $432.5M | -- | 9,500 |
| Aug 2011 | $2.5B | $2.1B | $432.5M | -- | -- |
| Jul 2011 | $2.5B | $2.1B | $432.5M | -- | -- |
| Jun 2011 | $2.5B | $2.1B | $432.5M | -- | -- |
| May 2011 | $2.5B | $2.1B | $432.5M | -- | -- |
| Mar 2011 | $2.5B | $2.1B | $432.5M | -- | -- |
| Feb 2011 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jan 2011 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jan 2011 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jan 2011 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jan 2011 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Dec 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Dec 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Dec 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Oct 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Oct 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Sep 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Sep 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Aug 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Aug 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jul 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jun 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| May 2010 | $1.7B | $1.5B | $128.4M | 501 | -- |
| Jan 2010 | $1.5B | $1B | $491.5M | 501 | -- |
| Oct 2009 | $1.5B | $1B | $491.5M | 501 | -- |
| Oct 2009 | $1.5B | $1B | $491.5M | 501 | -- |
| Apr 2009 | $1.5B | $1B | $491.5M | 501 | -- |
| Mar 2009 | $1.5B | $1B | $491.5M | 501 | -- |
| Mar 2009 | $1.7B | $1.3B | $493.7M | 251 | -- |
| Feb 2009 | $1.7B | $1.3B | $493.7M | 251 | -- |
| Feb 2009 | $1.7B | $1.3B | $493.7M | 251 | -- |
| Mar 2008 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Mar 2008 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Feb 2008 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Dec 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Aug 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Apr 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Apr 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Apr 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Apr 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Mar 2007 | $1.2B | $891.3M | $300.1M | 251 | -- |
| Mar 2007 | $911M | $728.8M | $182.2M | 251 | -- |
| Mar 2007 | $911M | $728.8M | $182.2M | 251 | -- |
| Feb 2007 | $911M | $728.8M | $182.2M | 251 | -- |
| Feb 2007 | $911M | $728.8M | $182.2M | 251 | -- |
| Feb 2007 | $911M | $728.8M | $182.2M | 251 | -- |
| Jan 2007 | $911M | $728.8M | $182.2M | 251 | -- |
| Nov 2006 | $911M | $728.8M | $182.2M | 251 | -- |
| Nov 2006 | $911M | $728.8M | $182.2M | 251 | -- |
| Mar 2006 | $711M | $505M | $206M | 251 | -- |
| Feb 2006 | $711M | $505M | $206M | 251 | -- |
| Jan 2006 | $711M | $505M | $206M | 251 | -- |
| Dec 2005 | $711M | $505M | $206M | 251 | -- |
| Nov 2005 | $711M | $505M | $206M | 251 | -- |
| Nov 2005 | $711M | $505M | $206M | 251 | -- |
| Oct 2005 | $711M | $505M | $206M | 251 | -- |
| Oct 2005 | $711M | $505M | $206M | 251 | -- |
| Oct 2005 | $711M | $505M | $206M | 251 | -- |
| May 2005 | $629.3M | $473.5M | $155.7M | 251 | -- |
| May 2005 | $629.3M | $473.5M | $155.7M | 251 | -- |
| Jan 2005 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Dec 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Aug 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Aug 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jul 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jul 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jul 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jul 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jul 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jul 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jun 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jun 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jun 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Jun 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| May 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| May 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| May 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| May 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Mar 2004 | $565.5M | $455.1M | $110.4M | 251 | -- |
| Apr 2002 | $525.9M | $501.9M | $24M | 51 | -- |
| Apr 2002 | $525.9M | $501.9M | $24M | 51 | -- |
| Mar 2002 | $525.9M | $501.9M | $24M | 51 | -- |
| Sep 2001 | $525.9M | $501.9M | $24M | 51 | -- |
| Aug 2001 | $525.9M | $501.9M | $24M | 51 | -- |
DateNov 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateOct 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateJul 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateMay 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateApr 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateFeb 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateJan 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateJan 2013
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateNov 2012
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees18
Clients11,100
DateOct 2012
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees--
Clients11,100
DateSep 2012
Total AUM$0
Discretionary$0
Non-Disc.$0
Employees--
Clients11,100
DateApr 2012
Total AUM$2.4B
Discretionary$1.8B
Non-Disc.$542.9M
Employees--
Clients11,100
DateMar 2012
Total AUM$2.4B
Discretionary$1.8B
Non-Disc.$542.9M
Employees--
Clients11,100
DateMar 2012
Total AUM$2.4B
Discretionary$1.8B
Non-Disc.$542.9M
Employees--
Clients11,100
DateDec 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients9,500
DateDec 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients9,500
DateDec 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients9,500
DateNov 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients9,500
DateAug 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients--
DateJul 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients--
DateJun 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients--
DateMay 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients--
DateMar 2011
Total AUM$2.5B
Discretionary$2.1B
Non-Disc.$432.5M
Employees--
Clients--
DateFeb 2011
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJan 2011
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJan 2011
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJan 2011
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJan 2011
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateDec 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateDec 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateDec 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateOct 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateOct 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateSep 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateSep 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateAug 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateAug 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJul 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJun 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateMay 2010
Total AUM$1.7B
Discretionary$1.5B
Non-Disc.$128.4M
Employees501
Clients--
DateJan 2010
Total AUM$1.5B
Discretionary$1B
Non-Disc.$491.5M
Employees501
Clients--
DateOct 2009
Total AUM$1.5B
Discretionary$1B
Non-Disc.$491.5M
Employees501
Clients--
DateOct 2009
Total AUM$1.5B
Discretionary$1B
Non-Disc.$491.5M
Employees501
Clients--
DateApr 2009
Total AUM$1.5B
Discretionary$1B
Non-Disc.$491.5M
Employees501
Clients--
DateMar 2009
Total AUM$1.5B
Discretionary$1B
Non-Disc.$491.5M
Employees501
Clients--
DateMar 2009
Total AUM$1.7B
Discretionary$1.3B
Non-Disc.$493.7M
Employees251
Clients--
DateFeb 2009
Total AUM$1.7B
Discretionary$1.3B
Non-Disc.$493.7M
Employees251
Clients--
DateFeb 2009
Total AUM$1.7B
Discretionary$1.3B
Non-Disc.$493.7M
Employees251
Clients--
DateMar 2008
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateMar 2008
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateFeb 2008
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateDec 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateAug 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateApr 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateApr 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateApr 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateApr 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateMar 2007
Total AUM$1.2B
Discretionary$891.3M
Non-Disc.$300.1M
Employees251
Clients--
DateMar 2007
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateMar 2007
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateFeb 2007
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateFeb 2007
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateFeb 2007
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateJan 2007
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateNov 2006
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateNov 2006
Total AUM$911M
Discretionary$728.8M
Non-Disc.$182.2M
Employees251
Clients--
DateMar 2006
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateFeb 2006
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateJan 2006
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateDec 2005
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateNov 2005
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateNov 2005
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateOct 2005
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateOct 2005
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateOct 2005
Total AUM$711M
Discretionary$505M
Non-Disc.$206M
Employees251
Clients--
DateMay 2005
Total AUM$629.3M
Discretionary$473.5M
Non-Disc.$155.7M
Employees251
Clients--
DateMay 2005
Total AUM$629.3M
Discretionary$473.5M
Non-Disc.$155.7M
Employees251
Clients--
DateJan 2005
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateDec 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateAug 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateAug 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJul 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJul 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJul 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJul 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJul 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJul 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJun 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJun 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJun 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateJun 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateMay 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateMay 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateMay 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateMay 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateMar 2004
Total AUM$565.5M
Discretionary$455.1M
Non-Disc.$110.4M
Employees251
Clients--
DateApr 2002
Total AUM$525.9M
Discretionary$501.9M
Non-Disc.$24M
Employees51
Clients--
DateApr 2002
Total AUM$525.9M
Discretionary$501.9M
Non-Disc.$24M
Employees51
Clients--
DateMar 2002
Total AUM$525.9M
Discretionary$501.9M
Non-Disc.$24M
Employees51
Clients--
DateSep 2001
Total AUM$525.9M
Discretionary$501.9M
Non-Disc.$24M
Employees51
Clients--
DateAug 2001
Total AUM$525.9M
Discretionary$501.9M
Non-Disc.$24M
Employees51
Clients--