James AllenCRD Number: 1014622
Current Firm: Robert W. Baird & Company Incorporated
James Allen (CRD# 1014622) is an Investment Advisor Representative working at Robert W. Baird & Company Incorporated in Louisville, KY and has over 39 years of experience in the finance industry.
Ameriprise Financial Services, LLC
Wells Fargo Clearing Services, LLC
|Robert W. Baird & Company Incorporated||Louisville, KY||Oct 2019 - Current||1|
|J.j.b. Hilliard, W.l. Lyons, Inc.||Louisville, KY||Jul 1981 - Current||39|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1981|
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 Management231,509MILLIONS
Total Number of Accounts235,782ACCOUNTS
Average Account Value$981,879
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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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