James Robert Allan
Professional Summary
James Robert Allan, who also goes by Jim Allan, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1983 - 2021. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Allan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
ASC 401(K) MANAGEMENT | ASC WEALTH & RETIREMENT ADVISORS LLC | ASC 401(K) MANAGEMENT;
Contact Information
Main Address
4321 W. College Ave Suite 200, Appleton, WI 54914Phone Number
(920) 888-1272# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
132AUM (Assets Under Management)
$26,756,198Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Nov 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1983About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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