James AllenCRD Number: 2287824
Current Firm: Oppenheimer & Company Inc.
James Allen (CRD# 2287824) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Chicago, IL and has over 29 years of experience in the finance industry. James Allen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Upper Left Wealth Management, LLC
Sequoia Wealth Management, LLC
Hightower Advisors, LLC
|Oppenheimer & Company Inc.||Chicago, IL||Sep 2020 - Current||1|
|David A. Noyes & Company / Sanctuary Securities, Inc.||Chicago, IL||May 2017 - Sep 2020||3|
|Citigroup Global Markets Inc.||Skokie, IL||May 2007 - Apr 2017||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1992|
|S65||NASAA Investment Advisors Law Examination||Sep 2000|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management27,024MILLIONS
Total Number of Accounts30,576ACCOUNTS
Average Account Value$883,838
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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