Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Reid Allen is a financial advisor with over 40 years of experience in the industry. James has a strong background in both investment advisory and brokerage services. Currently, James is registered with Robert W. Baird & Co. Inc. and has been with the firm since October 2019. Previously, James was with J.J.B. HILLIARD, W.L. LYONS, LLC from July 1981 to October 2019. James holds a variety of licenses including Series 3, 5, 7, 24, 63 and SIE. James is also a Chartered Financial Analyst and has expertise in a variety of investment specializations including stocks, bonds, mutual funds, options, and more.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Hard dollar payments for research
1
2
KY
10/18/2019 - Present
Robert W. Baird & Co. Inc. (LOUISVILLE KY)
KY
10/31/1981 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)
BC
Issued 11/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/24/1982
Series 5 - Interest Rate Options Examination
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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