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 35 years of experience in the industry. James has a strong background in the securities industry, having worked for several notable firms including Credit Suisse Securities (USA) LLC. James is currently registered with Stonehaven, LLC, which is based in New York, NY. James is a highly qualified advisor, having earned the Series 7, Series 8, Series 9, Series 10, Series 63, and Series 82TO licenses, as well as the SIE designation.
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.
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.
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2
NY
01/25/2022 - Present
Stonehaven, LLC (NEW YORK NY)
CO
04/12/2017 - 11/12/2021
WEILD & CO. (BOULDER CO)
MA
09/24/1986 - 08/05/2016
CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)
BC
Issued 01/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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