James Allen, financial advisor Tucson AZ
93 score

James Allen

CRD Number: 1808329
Current Firm: Lpl Financial LLC

James Allen (CRD# 1808329) is an Investment Advisor Representative working at Lpl Financial LLC in Tucson, AZ and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC Tucson, AZ Jan 2009 - Current 9
Pfg Advisors Tucson, AZ Mar 2015 - Oct 2017 2
Desert Energy Credit Union Tucson, AZ Jan 2009 - Feb 2014 5
Cue Financial Group Inc. Phoenix, AZ May 2006 - Jan 2009 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1994
S65 NASAA Investment Advisors Law Examination May 2007
Contact Info for James H. Allen
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    117,248
    MILLIONS
  • Total Number of Accounts
    551,780
    ACCOUNTS
  • Average Account Value
    $212,490
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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