James Robert Allen

Current Employers

Tartan Financial Group, Llc

Andover, KS • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2026-08-14
TX	RA	APPROVED	2026-08-14

KS RA
APPROVED

Since 2026-08-14
TX RA
APPROVED

Since 2026-08-14

Branch Locations

Andover, KS • 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

Organization	City	State	From	To
Morgan Stanley	Wichita	KS	07/2018	11/2022
Tartan Financial Group, Llc	Andover	KS	12/2022	Present
Cambridge Investment Research	Fairfield	IA	11/2022	Present
Pegasus Capital Management	Leawood	KS	02/2014	05/2018

07/2018 → 11/2022

Morgan Stanley

Wichita, KS
12/2022 → Present

Tartan Financial Group, Llc

Andover, KS
11/2022 → Present

Cambridge Investment Research

Fairfield, IA
02/2014 → 05/2018

Pegasus Capital Management

Leawood, KS

Previous Registrations

2022-11-10 → 2026-08-25

Cambridge Investment Research Advisors, Inc.

Andover, KS
2018-07-12 → 2022-11-14

Morgan Stanley

Kansas City, MO

Wichita, KS
2014-02-25 → 2018-05-18

Commonwealth Financial Network

Overland Park, KS

Overland Park, KS
2011-11-05 → 2014-01-09

Mariner

Overland Park, KS

Other Businesses

1) JAMES R ALLEN, 508 W Harry St, Andover KS 67002, 02/2025, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MO - 0 HR/MO TRADING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2014-05-13
S65	Uniform Investment Adviser Law Examination	2011-11-04

S63 Uniform Securities Agent State Law Examination

2014-05-13
S65 Uniform Investment Adviser Law Examination

2011-11-04

Other Names

James R Allen
James Robert Allen
James Allen

View on SEC IAPD