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James Walter Allen

Stonegate Investment Group, LLC

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About James Walter Allen

James Walter Allen is a financial advisor with Stonegate Investment Group, LLC. James is based in Birmingham, Alabama. James is registered with the state of Alabama and Georgia. James has been working in the financial industry since February 1, 2006, when he began his career with Morgan Keegan & Company, Inc. in Memphis, Tennessee. James previously worked with UBS Financial Services Inc. in Atlanta, Georgia. James Walter Allen holds the following licenses: Series 63, Series 66, Series 7, Series 7TO, and SIE.

Firm Information

James Allen is currently registered with Stonegate Investment Group, LLC. Stonegate Investment Group, LLC is an investment advisor headquartered in Birmingham, Alabama, with a team of 11 investment advisor representatives. They offer financial planning, pension consulting, portfolio management for individuals and pooled investment vehicles, and selection of other advisors. They manage approximately $4.65 billion in assets for clients, including high-net-worth individuals, pension and profit-sharing plans, corporations, individuals other than high-net-worth, and pooled investment vehicles.
Stonegate Investment Group, LLC

2005 STONEGATE TRAIL

BIRMINGHAM, AL 35242

$4.65B

Assets Under Management

2

Total Clients

10

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Allen’s Registration & Firm History

AL

12/13/2022 - Present

Stonegate Investment Group, LLC (BIRMINGHAM AL)

GA

11/16/2012 - 07/20/2021

UBS FINANCIAL SERVICES INC. (ATLANTA GA)

TN

02/01/2006 - 11/28/2006

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

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Licenses & Designations

BC

Issued 01/10/2013

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 04/04/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/11/2024

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Walter Allen.
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