James A. Allen

CORNERSTONE PLANNING GROUP

Glastonbury, CT 06033

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CRD#: 2907107

Professional summary

James Andrew Allen is a registered financial advisor currently at CORNERSTONE PLANNING GROUP located in Glastonbury, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Life insurance sales, [BROKERING OF LIFE, ANNUITY, HEALTH AND LTC PRODUCTS. DBA - ALLEN FINANCIAL GRP] [1873 Group LLC; Real estate rental; 46 Prospect Street, Hartford CT 06103; Start Date 09/2016; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours]

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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®

None

Experience

Current

October 22, 2021 - Present

CORNERSTONE PLANNING GROUP

Office #1: 95 Glastonbury Blvd, Suite 100, Glastonbury, CT 06033

RIA

CRD#: 307189

Glastonbury, CT

Past

August 5, 2021 - October 15, 2021

ALLEN FINANCIAL GROUP

RIA

CRD#: 316001

GLASTONBURY, CT

Past

June 15, 2005 - July 16, 2021

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

WINDSOR, CT

Past

July 15, 1997 - July 16, 2021

NYLIFE SECURITIES LLC

CRD#: 5167

WINDSOR, CT

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".

CORNERSTONE PLANNING GROUP

CRD#: 307189 / SEC#: 801-118222

RIA

Registered Investment Advisory firm - (3/13/2020 Approved)

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

Connecticut
(11/8/2021)

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: 6/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/14/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CORNERSTONE PLANNING GROUP

CRD#: 307189 / SEC#: 801-118222

RIA

Registered Investment Advisory firm - (3/13/2020 Approved)

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Contact information

Main Address

350 Passaic Avenue Suite 201, Fairfield, NJ 07004

Mailing Address

Phone number

(973) 487-3220

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/4/2025)

Regulatory assets under management

Total Number of Accounts	2,646
AUM (Assets Under Management)	$ 650,035,096

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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Advisor Monitoring

Firm Stability Insights

James A. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLEN FINANCIAL GROUP

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CORNERSTONE PLANNING GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2005

Series 63

Date: 7/23/1997

SIE

Date: 10/1/2018

Series 6

Date: 7/14/1997

Current Firm

CORNERSTONE PLANNING GROUP

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE PLANNING GROUP

TRUST BUT VERIFY

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