Alison Walker, financial advisor Sister Bay WI
83 score

Alison Walker

CRD Number: 4464323
Current Firm: Sii Investments, Inc.

Alison Walker (CRD# 4464323) is an Investment Advisor Representative working at Sii Investments, Inc. in Sister Bay, WI and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Baylake Bank Sister Bay, WI Sep 2014 - Current 2
Sii Investments Sister Bay, WI May 2016 - Jun 2016 < 1
Lpl Financial LLC Sister Bay, WI Sep 2014 - Jun 2016 1
Associated Investment Services, Inc. Green Bay, WI Aug 2004 - Sep 2014 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Alison A. Walker
Phone Number: 800-426-5975
Firm Website: http://www.siionline.com
Registered State(s):
  • CA
  • GA
  • IN
  • WA
  • WI
  • FL
By the Numbers
  • Total Assets Under Management
    4,226
    MILLIONS
  • Total Number of Accounts
    30,484
    ACCOUNTS
  • Average Account Value
    $138,626
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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