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James Newcomb Allen

Morgan Stanley

Indianapolis, IN

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-04-01
IN RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2025-04-01
  • IN RA
    APPROVED
    Since 2009-06-01

Branch Locations

111 Monument Circle Suite 3100, Indianapolis, IN 46204 • 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
Morgan Stanley Indianapolis IN 04/2007 Present
Morgan Stanley Smith Barney Indianapolis IN 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 04/2007 → Present
    Morgan Stanley
    Indianapolis, IN
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Indianapolis, IN
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-05 → 2009-06-01
    Morgan Stanley & Co. Llc
    Indianapolis, IN
  • 1998-12-16 → 2007-04-19
    Ubs Financial Services Inc.
    Indianapolis, IN
    Indianapolis, IN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-07-14
  • S63 Uniform Securities Agent State Law Examination
    1987-07-14
Other Names
  • Jim Allen

View on SEC IAPD

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Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
SANCTUARY ADVISORS, LLC · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

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