James AllenCRD Number: 1069257
Current Firm: Wells Fargo Advisors Financial Network, LLC
James Allen (CRD# 1069257) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Friday Harbor, WA and has over 34 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.
Concert Wealth Management
Penn Cove Financial, LLC
Financial Plan, Inc.
|Wells Fargo Advisors Financial Network LLC||Dallas, TX||Jul 2010 - Current||6|
|The Allen Group||Dallas, TX||Jul 2010 - Current||6|
|Wells Fargo Advisors, LLC||Dallas, TX||May 2009 - Jul 2010||1|
|Wachovia Securities, LLC||Dallas, TX||Jan 2008 - May 2009||1|
|A. G. Edwards & Sons, Inc.||Dallas, TX||Jul 1982 - Jan 2008||25|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1982|
Total Assets Under Management38,415MILLIONS
Total Number of Accounts131,465ACCOUNTS
Average Account Value$292,208
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- 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, 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
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