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James Howard Allen

LPl Financial LLC

Tucson, AZ

CRD 1808329

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2017-07-06
  • AZ RA
    APPROVED
    Since 2017-07-06

Branch Locations

Tucson, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Tucson AZ 01/2009 Present
Pfg Advisors Tucson AZ 03/2015 10/2017
Previous Registrations
  • 2015-03-26 → 2017-11-06
    Pfg Advisors
    Tucson, AZ
  • 2008-04-15 → 2009-01-21
    Cue Financial Group, Inc.
    Tucson, AZ
Other Businesses

(1) 10/25/2011 - UMPIRING HIGH SCHOOL BASEBALL GAMES. - OTHER-HIGH SCHOOL OFFICIATING - 2% OF TIME SPENT

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-23
S63 Uniform Securities Agent State Law Examination 1994-02-22
  • S65 Uniform Investment Adviser Law Examination
    2007-05-23
  • S63 Uniform Securities Agent State Law Examination
    1994-02-22
Other Names
  • James Howard Allen

View on SEC IAPD

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