James Robb Allen
Professional Summary
James Robb Allen, who also goes by J. Robb Allen, Robb Allen, is a registered financial advisor currently at EATON VANCE MANAGEMENT located in Boston, Massachusetts and EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Robb Allen, J. Robb Allen, Robb Allen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EATON VANCE MANAGEMENT
Contact Information
Main Address
One Post Office Square, Boston, MA 02109Phone Number
(617) 482-8260# of Employees
219SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,816AUM (Assets Under Management)
$97,020,545,041Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
EATON VANCE MANAGEMENT
State Registrations and Notice Filings
(8/14/2015)
(6/26/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2001About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Robb Allen's CRS (Customer Relationship Summary).
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