# FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC. of SAN DIEGO, CA is an SEC-registered investment adviser.

## Registration

- CRD: 32444
- Type: SEC-registered investment adviser
- SEC file number: 801-47805
- Location: 655 W. BROADWAY, 12TH FLOOR, SAN DIEGO, CA, 92101-8114
- Phone: 619-702-9600
- Latest filing: 2018-03-28
- Clients: 1

## Officers, owners & control persons (60)

_Showing 25 of 60 people._

| Name | Role | Location |
| --- | --- | --- |
| ROGERS L WILLIAM | AML COMPLIANCE OFFICER | DALLAS, TX |
| Alexander E Lee | MUNICIPAL PRINCIPAL | Dubai, C0 |
| Alexander Kanghee Lee | MUNICIPAL PRINCIPAL | — |
| QUINN MARK DAVID | CHIEF RISK OFFICER | — |
| SHELSON MARK PAUL | TREASURER | — |
| GREGG WILLIAM EDWARD | PRESIDENT/CEO; PRESIDENT/CO CEO | — |
| UMSTEAD RICHARD SCOTT | SR. V.P.,NATIONAL SALES MANAGER | — |
| BRONSTEIN GREGORY PHILLIP | DIRECTOR; DIRECTOR OF FAS HOLDINGS | — |
| BENSUSSEN VICTOR LAWRENCE | DIRECTOR; DIRECTOR OF FAS HOLDINGS | — |
| HAYES WILLIAM PATRICK | DIRECTOR OF FAS HOLDINGS | — |
| FITZGERALD THOMAS HENRY | CHAIRMAN; INDIRECT SHAREHOLDER | — |
| MOSES ROBERT JAY | CAO, GENERAL COUNSEL, DIRECTOR; GENERAL COUNSEL, DIRECTOR; SENIOR VP, GENERAL COUNSEL, DIRECTOR | — |
| LAWSON DONNA BARTLETT | CCO, VP; CCO, VP, CROP; CHIEF COMPLIANCE OFFICER (+1 more) | — |
| DINDINGER CRAIG ROBERT | SROP | — |
| LOBERMAN KIRK | CROP | — |
| DRANSFIELD MARK HOWARD | PRESIDENT; PRESIDENT, DIRECTOR | — |
| GLASER GREGG STEVEN | CHIEF FINANCIAL OFFICER; DIRECTOR; EXECUTIVE VICE PRESIDENT (+3 more) | — |
| BADGER DWIGHT OLIVER | SHAREHOLDER | — |
| DAUBENSPECK KEITH GREGORY | SHAREHOLDER | — |
| SBOTO THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | — |
| CONDRA SHANNON ROSE | SENIOR VP, BUSINESS STRATEGIES GROUP; SENIOR VP, DIRECTOR OF BROKER/DEALER SERVICES; VP (+1 more) | — |
| ONEAL TIY LYNN | CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER, COO (+2 more) | — |
| ROGERS SUSAN CLAUDIA | SR. V.P.,  NATIONAL SALES MANAGER | — |
| YOUNG JEFFREY CHAMBERS | V.P., SUPERVISION; VP, SUPERVISION | — |
| MOORADIAN DENNIS JACK | DIRECTOR/CHAIRMAN OF THE BOARD | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/32444/brochure
- Similar advisers: https://search.stillhousedata.com/firm/32444/similar
- Related entities: https://search.stillhousedata.com/firm/32444/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/32444

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.