James A. Reyes

ALLEN JAMES FINANCIAL LLC

SAN MARCOS, CA

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CRD#: 2832099

Professional summary

James Allen Reyes, who also goes by Jim Reyes, is a registered financial advisor currently at ALLEN JAMES FINANCIAL LLC located in San Marcos, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Reyes

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.

ALLEN JAMES FINANCIAL & INSURANCE SERVICES; INVESTMENT RELATED; 4455 MORENA BLVD #209, SAN DIEGO, CA; INSURANCE; OWNER/INSURANCE AGENT SINCE 10/1985; SPENDS ABOUT 15+ HOURS TO THIS BUSINESS; SALE OF INSURANCE PRODUCTS AND SERVICES I CURRENTYLY BROKER FIXED INDEXED INSURANCE CONTRACTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Reyes's CRS (Customer Relationship Summary).

CAPSTONE INVESTMENTS

CRD#: 41400

SAN DIEGO, CA

Past

April 8, 1997 - July 29, 1997

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

January 20, 1997 - March 19, 1997

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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.

Highlighted states indicate IAR registrations

IAR

California
(9/1/2021)

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

State Security Law Exam

IAR

Series 65

Date: 4/24/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/1997

General Securities Representative Examination

Current Firm

ALLEN JAMES FINANCIAL LLC

CRD#: 315518 / SEC#:

California

Registered Investment Advisory firm - (9/1/2021 Approved)

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Contact information

Main Address

San Marcos, CA

Mailing Address

Phone number

(619) 540-2787

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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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James A. Reyes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Reyes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEN JAMES FINANCIAL LLC

FIRST ADVISORS NATIONAL, LLC

JCG INVESTMENTS, LLC

CROSSROADS CAPITAL MANAGEMENT, INC.

HORTER INVESTMENT MANAGEMENT, LLC

CAPSTONE INVESTMENTS

FIRST ALLIED SECURITIES, INC.

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2008

Series 63

Date: 2/18/1997

Series 7

Date: 1/17/1997

Current Firm

ALLEN JAMES FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

ALLEN JAMES FINANCIAL LLC

TRUST BUT VERIFY

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