James Walter Allen

Current Employers

Employment History

• 09/2012 → 07/2021
  Ubs Financial Services Inc.
  Atlanta, GA
• 07/2021 → 12/2025
  Stonegate Investment Group, Llc
  Birmingham, AL
• 12/2025 → Present
  Newedge Securities Llc
  Pittsburgh, PA
• 12/2025 → Present
  Newedge Advisors
  New Orleans, LA

Previous Registrations

• 2021-07-09 → 2025-12-04
  Stonegate Investment Group, Llc
  Birmingham, AL
• 2012-11-20 → 2021-07-20
  Ubs Financial Services Inc.
  Atlanta, GA
  Weehawken, NJ
  Atlanta, GA
• 2007-05-11 → 2012-10-10
  Gfo Advisory Services, Llc
  Atlanta, GA
• 2006-04-05 → 2006-11-28
  Morgan Keegan & Company, Llc
  Memphis, TN
  Memphis, TN

Other Businesses

NewEdge Advisors, LLC - DBA Stonegate Investment Group; Investment related; Birmingham, AL; Start date 12/2025; 160 total hours; 160 trading hours; Investment Advisor Representative SWM PARTNERS II, LLC*No Invest*BIRMINGHAM AL *PASSIVE INVESTMENT VEHICLE USED TO POOL FUNDS FOR PRIVATE INVESTMENT IN ACCRETE COMMON STOCK*7/1/21*Member*0 Hrs RIVERHILL HOLDLINGS LLC*ATLANTA GA*No Invest*PASSIVE ENTITY HOLDING OWNERSHIP IN OLD RIA STONEGATE INVESTMENT GROUPHOLDINGS*4/7/21*PRESIDENT/SHAREHOLDER*0 Hr trade/2 non trade OSIGH, LLC*Yes Invest*Birmingham, AL*Holding company that previously operated Stonegate Investment Group before NewEdge transaction in 12/2025*4/7/21*Member/Partner*0 Hrs OSIG, LLC*Yes Invest*BIRMINGHAM AL*FORMERLY OPERATING ENTITY STONEGATE INVESTMENT GROUP*7/1/21*0 Hrs

Exams

• S63 Uniform Securities Agent State Law Examination
  2013-01-10
• S66 Uniform Combined State Law Examination
  2006-04-04

Other Names

• Jay Allen