Unclaimed Profile

Thomas Roy Allison

ALLISON SPIELMAN ADVISORS, LLC·BELLEVUE, Washington

Series 7, Series 24, Series 6324 years registeredALLISON SPIELMAN ADVISORS, LLC

1380 112TH AVE. NE, BELLEVUE, WA 98004CRD# 1134023Firm CRD# 116387

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Roy Allison · BELLEVUE, WA

Registration

CRD #1134023 · ALLISON SPIELMAN ADVISORS, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ALLISON SPIELMAN ADVISORS, LLC

ALLISON SPIELMAN ADVISORS, LLC

Jul 2002 – Nov 2021

Bellevue, WA

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Registration record

First registered · July 18, 2002

Years registered · 24

Disclosure History

1996Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ALLISON SPIELMAN ADVISORS, LLC

CRD 116387 · SEC 801-60788

AUM

$49M

Regulatory assets under management

Employees

118 client accounts

Services offered by ALLISON SPIELMAN ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ALLISON SPIELMAN ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Roy Allison offer?

Thomas Roy Allison specializes in Financial Planning, Investment Management.

What are Thomas Roy Allison's credentials?

Thomas Roy Allison is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Roy Allison located?

Thomas Roy Allison is based in BELLEVUE, Washington, last registered with ALLISON SPIELMAN ADVISORS, LLC.

How does Thomas Roy Allison charge for services?

Thomas Roy Allison's firm is compensated through percentage of aum, hourly charges, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ALLISON SPIELMAN ADVISORS, LLC?

ALLISON SPIELMAN ADVISORS, LLC has approximately 1 employees and manages $49M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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