Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames R. Allen is an experienced financial advisor with over 10 years of experience in the industry. James is currently registered with Cambridge Investment Research Advisors, Inc. and provides investment advisory services. Prior to joining Cambridge Investment Research Advisors, Inc., James worked at MORGAN STANLEY and COMMONWEALTH FINANCIAL NETWORK. James holds Series 63, 65, 7 and SIE licenses and is registered in several states including Kansas, Texas, Colorado, Missouri, and Puerto Rico. James specializes in working with high-net-worth individuals, corporations, and pension plans.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Solicitation fees from 3rd party money managers
1
2
KS
11/10/2022 - Present
Cambridge Investment Research Advisors, Inc. (Andover KS)
KS
07/12/2018 - 11/14/2022
MORGAN STANLEY (Wichita KS)
KS
04/17/2014 - 05/18/2018
COMMONWEALTH FINANCIAL NETWORK (OVERLAND PARK KS)
BC
Issued 05/13/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/04/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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