Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen is a financial advisor with over 30 years of experience in the industry. He is registered with Oppenheimer & Co. Inc. and is licensed in several states. James holds the Series 7, Series 63, Series 65, and SIE licenses. He also holds the Certified Financial Planner designation. James is known for his expertise in financial planning, portfolio management, and pension consulting. His clients include individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
IL
11/16/2022 - Present
Oppenheimer & Co. Inc. (CHICAGO IL)
IL
05/26/2017 - 09/30/2020
SANCTUARY SECURITIES, INC. (Lake Forest IL)
IL
05/29/2007 - 04/25/2017
CITIGROUP GLOBAL MARKETS INC. (SKOKIE IL)
IL
09/03/1999 - 05/29/2007
CITICORP INVESTMENT SERVICES (SKOKIE IL)
IL
03/27/1996 - 10/07/1999
INVESTMENT NETWORK, INC. (FRANKLIN PARK IL)
OR
11/16/1994 - 03/20/1996
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
IL
06/02/1994 - 08/09/1994
ROTHSCHILD INVESTMENT CORPORATION (CHICAGO IL)
MO
10/15/1993 - 05/13/1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
NY
05/05/1993 - 10/01/1993
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
01/26/1993 - 05/12/1993
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CO
12/24/1992 - 01/26/1993
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 09/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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