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CJ

Curtis A. James

ALLSTATE FINANCIAL ADVISORS
Lincoln, NE 68508-1380
Some features on this profile are disabled
CRD#: 4885855
CJ

Professional summary

Curtis Andre James, who also goes by Andre James, Curtis A. James, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Lincoln, Nebraska and ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.

Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Curtis has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andre James | Curtis A. James

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 Curtis Andre James'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

April 5, 2024 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380
RIA
CRD#: 109524
Lincoln, NE
Current

August 30, 2023 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380
BD
CRD#: 18272
Lincoln, NE
Past

December 14, 2021 - August 28, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

September 25, 2015 - December 1, 2021

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
IRVING, TX
Past

October 9, 2014 - September 16, 2015

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Dallas, TX
Past

April 22, 2006 - February 8, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

July 29, 2005 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX

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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 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.
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
Texas
(8/30/2023)
IAR
Texas
(4/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/3/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/11/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/19/2009
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524Lincoln, NE 68508-1380

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