James F. Alexander
Professional summary
James Franklin Alexander, CFP®, who also goes by James F Alexander, Jim F Alexander, is a registered financial advisor currently at ALLEGHENY INVESTMENTS, LTD. located in Pittsburgh, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Franklin Alexander's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2003
Experience
October 17, 2001 - Present
ALLEGHENY INVESTMENTS, LTD.
Office #1: Stone Quarry Crossing 811 Camp Horne Road, Suite 100, Pittsburgh, PA 15237September 26, 2001 - December 31, 2024
ALLEGHENY INVESTMENTS, LTD.
June 12, 2000 - August 17, 2001
EQUITABLE ADVISORS, LLC
February 21, 2000 - June 7, 2000
WALNUT STREET SECURITIES, INC.
Primary Firm SEC Registration
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/17/2001)
Exams
Current Firm
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,990 |
| AUM (Assets Under Management) | $ 633,814,776 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 10/22/2024 | ||
| 08/11/2023 |
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.
