Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Allen is a financial advisor with over 25 years of experience in the financial services industry. He has been associated with Anchor Bay Capital, Inc. since 2019 and is currently registered as a Registered Representative and Investment Advisor Representative in the state of California. James Allen offers a range of financial services, including financial planning, portfolio management for businesses and individuals, and pension consulting. James Allen has served as President of Anchor Bay Capital, Inc. and Anchor Bay Private Wealth LLC, both based in Carlsbad, California, since 2019 and 2023 respectively.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
03/04/2019 - Present
Anchor BAY Capital, Inc. (Carlsbad CA)
CA
06/07/2016 - 03/01/2019
USA FINANCIAL SECURITIES CORPORATION (Tustin CA)
CA
07/17/2015 - 09/15/2015
LPL FINANCIAL LLC (TUSTIN CA)
NC
12/11/2004 - 05/12/2015
METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)
CA
01/31/2002 - 12/11/2004
METLIFE INVESTORS DISTRIBUTION COMPANY (NEWPORT BEACH CA)
CA
08/03/1993 - 09/12/1996
PACIFIC MUTUAL DISTRIBUTORS, INC. (NEWPORT BEACH CA)
MN
05/23/1990 - 09/04/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/23/1990 - 09/04/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NJ
10/06/1988 - 10/10/1989
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
10/06/1988 - 10/10/1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 07/24/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2022
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/25/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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