JA
James F. Allen
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 4214891
JA
Professional summary
James Franklin Allen, CFP®, ChFC®, CLU®, who also goes by James Franklin Allen, Jamie Franklin Allen, James Allen, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Franklin Allen | Jamie Franklin Allen | James 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.
EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355....... 1. Name and address: James Allen, Narberth, PA 19072 Category: Real Estate (Rental Properties) Investment-Related: Yes Title: Owner Duties: Collect rent on two rental property units - 528 S. 19th St., Phila, PA, Units A & B Start Date: 12/2003 Hours per month: 1 Hours per month during trading hours: 0......... 2. NAME OF BUSINESS: GUSSY, LLC. NON-INVESTMENT/INVESTMENT RELATED: Real Estate (Rental Properties) ADDRESS (City/State): Business Address: Narberth, PA NATURE OF BUSINESS: Rental Property POSITION: Owner START DATE (Month/Year): 07/2018 APPROXIMATE HOURS PER MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Collect Rental Income, Rental Property Address: Dudley Ave, Narberth PA Name of Business: DYLI LLC NON-INVESTMENT/INVESTMENT RELATED: Real Estate (Rental Properties) ADDRESS (City/State): Business Address: Narberth, PA NATURE OF BUSINESS: Rental Property POSITION: Owner START DATE (Month/Year): 07/2018 APPROXIMATE HOURS PER MONTH: 0 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Real estate purchase. ...... NAME OF BUSINESS: Rental Property - #3 INVESTMENT-RELATED ADDRESS (City/State): Narberth, PA POSITION: LANDLORD/OWNER START DATE: 9/12/2023 APPROXIMATE HOURS/MONTH: 5 HOURS DEVOTED DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - BD
Click below to view James Franklin 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®
Experience
Current
October 26, 2018 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
October 1, 2019 - December 31, 2024
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
MALVERN, PA
Past
August 7, 2017 - September 27, 2017
OSAIC FS, INC.
BD
CRD#: 3870
PHILADELPHIA, PA
Past
August 2, 2017 - September 27, 2017
OSAIC FA, INC.
RIA
CRD#: 3978
PHILADELPHIA, PA
Past
August 2, 2017 - September 27, 2017
OSAIC FA, INC.
BD
CRD#: 3978
PHILADELPHIA, PA
Past
September 20, 2005 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
RADNOR, PA
Past
September 20, 2005 - June 29, 2017
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
June 23, 2003 - August 5, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
W. CONSHOHOCKEN, PA
Past
August 7, 2002 - August 5, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 7, 2002 - August 5, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(3/12/2025)
RR
Alaska(3/12/2025)
RR
Arizona(3/12/2025)
RR
Arkansas(10/26/2018)
RR
California(3/12/2025)
RR
Colorado(3/12/2025)
RR
Connecticut(3/12/2025)
RR
Delaware(3/12/2025)
RR
District of Columbia(3/12/2025)
RR
Florida(3/12/2025)
RR
Georgia(3/12/2025)
RR
Hawaii(3/12/2025)
RR
Idaho(3/12/2025)
RR
Illinois(3/12/2025)
RR
Indiana(3/12/2025)
RR
Iowa(3/12/2025)
RR
Kansas(3/12/2025)
RR
Kentucky(3/12/2025)
RR
Louisiana(3/12/2025)
RR
Maine(3/12/2025)
RR
Maryland(3/12/2025)
RR
Massachusetts(10/26/2018)
RR
Michigan(3/12/2025)
RR
Minnesota(3/12/2025)
RR
Mississippi(3/12/2025)
RR
Missouri(3/12/2025)
RR
Montana(3/12/2025)
RR
Nebraska(3/12/2025)
RR
Nevada(3/12/2025)
RR
New Hampshire(3/12/2025)
RR
New Jersey(3/12/2025)
RR
New Mexico(3/12/2025)
RR
New York(3/12/2025)
RR
North Carolina(3/12/2025)
RR
North Dakota(3/12/2025)
RR
Ohio(3/13/2025)
RR
Oklahoma(3/12/2025)
RR
Oregon(3/12/2025)
RR
Pennsylvania(10/26/2018)
RR
Puerto Rico(3/12/2025)
RR
Rhode Island(3/12/2025)
RR
South Carolina(3/12/2025)
RR
South Dakota(3/12/2025)
RR
Tennessee(3/12/2025)
RR
Texas(3/12/2025)
RR
Utah(10/26/2018)
RR
Vermont(3/12/2025)
RR
Virgin Islands(3/12/2025)
RR
Virginia(3/12/2025)
RR
Washington(3/12/2025)
RR
West Virginia(3/12/2025)
RR
Wisconsin(3/12/2025)
RR
Wyoming(3/12/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
