James Allen is a registered investment advisor, based in New Orleans, LA, with 19 years of industry experience.
Location
858 Camp Street, New Orleans, LA, 70130
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Newedge Advisors
December 2025 - Present · 7 mos
Previous Registrations
Newedge Securities, LLCBroker
December 2025 - March 2026 · 3 mos
Stonegate Investment Group, LLC
July 2021 - December 2025 · 4 yrs 5 mos
UBS Financial Services INC.
November 2012 - July 2021 · 8 yrs 8 mos
UBS Financial Services INC.Broker
November 2012 - July 2021 · 8 yrs 8 mos
Genspring Family Offices, LLC
May 2007 - October 2012 · 5 yrs 5 mos
Morgan Keegan & Company, INC.
April 2006 - November 2006 · 7 mos
Morgan Keegan & Company, INC.Broker
February 2006 - November 2006 · 9 mos
State Registrations6 states
ALGALANENHTX
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.