James Robert Allen

Employer firm

Tartan Financial Group, LLC CRD 342445

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 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