James W. Allen

STONEGATE INVESTMENT GROUP

Birmingham, AL 35242

Some features on this profile are disabled

CRD#: 4879505

Professional summary

James Walter Allen, who also goes by Jay Allen, is a registered financial advisor currently at STONEGATE INVESTMENT GROUP, LLC located in Birmingham, Alabama.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Walter 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

July 9, 2021 - Present

STONEGATE INVESTMENT GROUP, LLC

Office #1: 2005 Stonegate Trail Suite # 101, Birmingham, AL 35242

RIA

CRD#: 314889

Birmingham, AL

Past

November 20, 2012 - July 20, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

November 16, 2012 - July 20, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

May 11, 2007 - October 10, 2012

GFO ADVISORY SERVICES, LLC

RIA

CRD#: 109278

ATLANTA, GA

Past

April 5, 2006 - November 28, 2006

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

February 1, 2006 - November 28, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

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".

STONEGATE INVESTMENT GROUP, LLC

ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA

Registered Investment Advisory firm - (6/15/2021 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

Alabama
(7/9/2021)

IAR

Georgia
(12/13/2022)

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

Series 63

Date: 1/10/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/4/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/11/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2012

General Securities Representative Examination

Current Firm

STONEGATE INVESTMENT GROUP, LLC

ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA

Registered Investment Advisory firm - (6/15/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2005 Stonegate Trail Suite # 101, Birmingham, AL 35242

Mailing Address

Phone number

(205) 963-0840

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

STONEGATE DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	2,768
AUM (Assets Under Management)	$ 5,670,936,072

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/02/2025	Cover Page	Report
10/10/2024	Cover Page	Report
12/12/2023	Cover Page	Report

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James W. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GFO ADVISORY SERVICES, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

STONEGATE INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/2013

Series 66

Date: 4/4/2006

Series 7TO

Date: 4/11/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2012

Current Firm

STONEGATE INVESTMENT GROUP, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STONEGATE INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors