James Allison, financial advisor Rock Hill SC
83 score

James Allison

CRD Number: 5437883
Current Firm: Palmetto Premier Advisors, LLC

James Allison (CRD# 5437883) is an Investment Advisor Representative working at Palmetto Premier Advisors, LLC in Rock Hill, SC and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Dempsey Lord Smith, LLC Rome, GA Dec 2017 - Current < 1
Palmetto Premier Advisors, LLC Rock Hill, SC Dec 2017 - Current < 1
Mml Investors Services Charlotte, NC Jun 2015 - Nov 2017 2
Mass Mutual Life Insurance Company Charlotte, NC May 2015 - Nov 2017 2
Metlife Securities Inc. Charlotte, NC Dec 2010 - May 2015 4
Mml Investors Services, Inc. Charlotte, NC Jul 2008 - Dec 2010 2
Massmutual Life Insurance Company Charlotte, NC Oct 2007 - Dec 2010 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2008
S65 NASAA Investment Advisors Law Examination Oct 2009
Disclosure Information

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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James C. Allison
Phone Number: 704-644-7700
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States


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