Allison Wooton has been an investment adviser representative at SWP Financial since October 2023, and is not listed among the firm’s executive officers or direct owners.
SWP Financial LLC is an Encinitas, CA firm with $239M under management, 193 clients and 3 advisers across 3 offices, as of its July 2026 filing.
Allison Wooton is Financial Advisor of Salient Wealth Planning, based in Encinitas, California. She has worked at Salient Wealth Planning for the past 15 years. Her career in financial services spans over two decades, starting with a private practice in Monterey, California.
Allison Wooton’s longest registration was 12 years at Ameriprise Financial Services, LLC (2011–2023). Before joining SWP Financial in 2023, Allison Wooton was registered through Ameriprise Financial Services, LLC.
- SavvyAlso current– present · under a yearAdviser representative · Firm CRD 318493
- Salient Wealth PlanningCurrent– present · 2 yearsEncinitas, CA · Adviser representative · Firm CRD 327885
- Ameriprise Financial Services, LLC– · 12 yearsSan Diego, CA · Adviser representative · Firm CRD 6363
Professional designations
Listed by SWP Financial
- CRPC™
- RICP®
- APMA™
Investment adviser representative registrations
Allison Wooton is registered as an investment adviser representative in 2 states. Each was approved in October 2023.
- CaliforniaSince 31 October 2023
- TexasSince 31 October 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 23 July 2011 |
| Series 7 | General Securities Representative Examination | 14 March 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Allison Suzanne Wooton
- CRD
- 4990072
- Firm
- SWP Financial · CRD 327885
- Office
- 171 SAXONY ROAD, SUITE 211, Encinitas, CA 92024
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- salientwealthplanning.com
Where does Allison Wooton work?
Allison Wooton is an investment adviser representative registered through SWP Financial LLC since October 2023, and is not listed among the firm’s executive officers or direct owners.
Is Allison Wooton a financial advisor?
Yes. Allison Wooton has a current investment-adviser registration in California and Texas, through SWP Financial since October 2023.
How many years of experience does Allison Wooton have?
Allison Wooton has 15 years in the financial industry, since March 2011, across 3 adviser firms.
What exams has Allison Wooton passed?
Allison Wooton has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in March 2011. FINRA credited Allison Wooton with the SIE, which began in October 2018.
Where is Allison Wooton based?
Allison Wooton’s registered office is in Encinitas, CA.
Is Allison Wooton registered with FINRA?
Yes. Allison Wooton has a current broker registration, under CRD 4990072.
Source: FINRA BrokerCheck
How can I verify Allison Wooton’s record?
Search CRD 4990072 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Allison Wooton’s full registration record.
