James R. Allen
ANCHOR BAY CAPITAL | President & Sr. Advisor
Carlsbad, CA 92008
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CRD#: 1882869
Professional summary
James Robert Allen, CFP®, who also goes by James Robert Allen Jr, James Robert (jr) Allen, Jim Allen, is a registered financial advisor currently at ANCHOR BAY CAPITAL, INC. located in Carlsbad, California and ANCHOR BAY PRIVATE WEALTH LLC located in Carlsbad, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 14 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Divorce Planning
Insurance Planning
Estate Planning
Comprehensive Financial Planni...
Retirement Income Management
Investment Planning
Tax Planning
Do you have an area of expertise or specialization?
Comprehensive Financial Planni...
401(k)/403(b)/IRAs
Charitable & Planned Giving
Asset Allocation
Business Taxes
Estate Planning
Investment Management
Government & Military
Getting Divorced
Job Loss
Retirement
Stocks & Bonds
Life Planning
Succession Planning
Sudden Wealth
Nontraditional Households
Special Needs
Personal Taxes
Are you a "fiduciary"?
Yes
Aliases
James Robert Allen Jr | James Robert (jr) Allen | Jim Allen
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.
Anchor Bay Capital, Inc. * Investment-related * 5780 Fleet Street, STE 308, Carlsbad, CA 92008 * Financial Planning and RIA * President * Start Date: 2/21/2019 * 160 Hours/Month * 144 Hours during Trading Anchor Bay Tax & Consulting LLC * Not Investment Related * 5780 Fleet Street, STE, Carlsbad, CA 92008 * Tax Preparation and Estate Consulting * President * Start Date: June 2022 * Hours per Month: 40 * 20 Hours during Trading Anchor Bay Private Wealth * Investment-related * 5780 Fleet Street, STE 308, Carlsbad, CA 92008 * RIA and Financial Planning * President * June 2023 * 40 Hours/Mo * 20 Hours/Mo Trading Hours Financial Planning Association of Orange County * Not Investment-related * Orange County, CA * Financial Planning discussions with other planners * Board Chair * Jan 2018
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Allen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Current
March 4, 2019 - Present
ANCHOR BAY CAPITAL, INC.
Office #1: 5780 Fleet Street, Suite 308, Carlsbad, CA 92008RIA
CRD#: 116913
Carlsbad, CA
Current
August 4, 2023 - Present
ANCHOR BAY PRIVATE WEALTH LLC
Office #1: 5780 Fleet Street, Suite 308, Carlsbad, CA 92008RIA
CRD#: 327418
Carlsbad, CA
Current
March 1, 2019 - Present
ANCHOR BAY SECURITIES, LLC
Office #1: 5780 Fleet Street Ste 308, Carlsbad, CA 92008Office #2: 5780 Fleet Street Suite 308, Carlsbad, CA 92008Office #3: 17332 Irvine Blvd. Suite 285, Tustin, CA 92780BD
CRD#: 47360
Carlsbad, CA
Past
June 7, 2016 - March 1, 2019
USA FINANCIAL SECURITIES LLC
RIA
CRD#: 103857
Tustin, CA
Past
June 7, 2016 - March 1, 2019
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
Tustin, CA
Past
July 29, 2015 - September 8, 2015
FINANCIAL ADVISORS NETWORK, INC.
RIA
CRD#: 152083
TUSTIN, CA
Past
July 17, 2015 - September 15, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
TUSTIN, CA
Past
December 11, 2004 - May 12, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
CHARLOTTE, NC
Past
May 30, 2003 - December 31, 2004
SENTINEL ADVISORY SERVICES, INC.
RIA
CRD#: 119332
HOUSTON, TX
Past
October 15, 2002 - December 31, 2002
SENTINEL ADVISORY SERVICES, INC.
RIA
CRD#: 119332
HOUSTON, TX
Past
January 31, 2002 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
August 3, 1993 - September 12, 1996
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
May 23, 1990 - September 4, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 23, 1990 - September 4, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
October 6, 1988 - October 10, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 6, 1988 - October 10, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AB
ANCHOR BAY CAPITAL, INC.
ANCHOR BAY CAPITAL MANAGEMENT, LLC | ANCHOR BAY CAPITAL, INC.
CRD#: 116913 / SEC#: 801-107983
RIA
Registered Investment Advisory firm - (6/13/2016 Approved)California
Registered Investment Advisory firm - (7/15/2016 Terminated)Utah
Registered Investment Advisory firm - (6/15/2016 Terminated)Washington
Registered Investment Advisory firm - (7/15/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/1/2019)
IAR
California(3/4/2019)
RR
Colorado(3/1/2019)
RR
Texas(3/1/2019)
RR
Utah(3/1/2019)
RR
Washington(3/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AB
ANCHOR BAY CAPITAL, INC.
ANCHOR BAY CAPITAL MANAGEMENT, LLC | ANCHOR BAY CAPITAL, INC.
CRD#: 116913 / SEC#: 801-107983
RIA
Registered Investment Advisory firm - (6/13/2016 Approved)California
Registered Investment Advisory firm - (7/15/2016 Terminated)Utah
Registered Investment Advisory firm - (6/15/2016 Terminated)Washington
Registered Investment Advisory firm - (7/15/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5780 Fleet St. Suite 308, Carlsbad, CA 92008
Mailing Address
Phone number
(760) 602-3470
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 191 |
| AUM (Assets Under Management) | $ 219,444,071 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ANCHOR BAY CAPITAL, INC.
President & Sr. AdvisorCRD#: 116913Carlsbad, CA 92008TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
