Allen Neal Huggins
Investment Adviser Representative at Verity Asset Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Allen Neal Huggins is an investment adviser representative with Verity Asset Management in Durham, NC, where they have been registered since 2011. They have worked in the securities industry since 1997 and were previously registered with Verity Investments, Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in North Carolina.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
3 states and territories
Georgia, Kentucky, North Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Verity Asset MgmtAug 1997 – no end date reportedDurham, NC
- Verity Investments, Inc.Jun 2011 – Nov 2025Durham, NC
- Verity FinancialAug 1997 – no end date reportedDurham, NC
- The Leaders Group DBA Simplicity InvestmentsNov 2025 – no end date reportedSummit, NJ
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Verity Asset Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- First $100,0001.50%
- Next $50,0001.20%
- Next $100,0001.15%
- Next $250,0000.95%
+4 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 53
- Offices listed on AdvisorFinder:
- 10
- Main office:
- Durham, NC
- SEC file number:
- 801-66730
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 5, 2026
View full firm profileOther advisors at Verity Asset Management
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Allen Neal Huggins has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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