JA
James J. Allan
TRADESTATION SECURITIES
New York, NY 10005
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CRD#: 4729060
JA
Professional summary
James Jaser Allan, who also goes by James Jaser Allen, Jim Allen, Jimmy Allen, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Jaser Allen | Jim Allen | Jimmy 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Jaser Allan'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®
NoneExperience
Current
July 13, 2015 - Present
TRADESTATION SECURITIES, INC.
Office #1: 2 Wall Street Suite 730, New York, NY 10005BD
CRD#: 39473
New York, NY
Past
August 5, 2014 - June 15, 2015
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
NEW YORK, NY
Past
May 10, 2005 - August 7, 2014
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
NEW YORK, NY
Past
September 22, 2004 - May 10, 2005
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
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(3/1/2023)
RR
Alaska(3/1/2023)
RR
Arizona(3/1/2023)
RR
Arkansas(3/1/2023)
RR
California(3/1/2023)
RR
Colorado(3/1/2023)
RR
Connecticut(3/1/2023)
RR
Delaware(3/1/2023)
RR
District of Columbia(3/1/2023)
RR
Florida(3/1/2023)
RR
Georgia(3/1/2023)
RR
Hawaii(3/1/2023)
RR
Idaho(3/1/2023)
RR
Illinois(3/1/2023)
RR
Indiana(3/1/2023)
RR
Iowa(3/1/2023)
RR
Kansas(3/1/2023)
RR
Kentucky(3/1/2023)
RR
Louisiana(3/1/2023)
RR
Maine(3/1/2023)
RR
Maryland(3/1/2023)
RR
Massachusetts(3/1/2023)
RR
Michigan(3/1/2023)
RR
Minnesota(3/1/2023)
RR
Mississippi(3/1/2023)
RR
Missouri(3/1/2023)
RR
Montana(3/1/2023)
RR
Nebraska(3/1/2023)
RR
Nevada(3/1/2023)
RR
New Hampshire(3/1/2023)
RR
New Jersey(3/1/2023)
RR
New Mexico(3/1/2023)
RR
New York(10/2/2015)
RR
North Carolina(3/1/2023)
RR
North Dakota(3/1/2023)
RR
Ohio(3/1/2023)
RR
Oklahoma(3/1/2023)
RR
Oregon(3/1/2023)
RR
Pennsylvania(3/1/2023)
RR
Puerto Rico(3/1/2023)
RR
Rhode Island(3/1/2023)
RR
South Carolina(3/1/2023)
RR
South Dakota(3/1/2023)
RR
Tennessee(3/1/2023)
RR
Texas(3/1/2023)
RR
Utah(3/1/2023)
RR
Vermont(3/1/2023)
RR
Virginia(3/1/2023)
RR
Washington(3/1/2023)
RR
West Virginia(3/1/2023)
RR
Wisconsin(3/1/2023)
RR
Wyoming(3/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
CRD#: 39473 / SEC#: , 8-48711
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
