Stanley James Allen Jr
Professional Summary
Stanley James Allen JR, who also goes by Jim Allen Jr, Jim Allen, Stanely James Allen Jr, was a registered financial advisor. Stanley was a previously registered financial professional and started their career in finance 1984 - 2010. Stanley had worked at 6 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Allen Jr, Jim Allen, Stanely James Allen Jr
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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
42 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Contact Information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616Mailing Address
Po Box 579, Eagle, ID 83616Phone Number
(208) 489-3131Established
Idaho since 12/30/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
49SEC notice filing (49 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
FINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
4,385AUM (Assets Under Management)
$986,332,007Disclosures
Regulatory Event
1Similar 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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Primary Firm SEC Registration
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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