Unclaimed Profile

James Walter Allen

STONEGATE INVESTMENT GROUP, LLC·BIRMINGHAM, Alabama

SIE, Series 7, Series 7TO, Series 63, Series 66Clean record20 years registeredSTONEGATE INVESTMENT GROUP, LLC

2005 STONEGATE TRAIL, BIRMINGHAM, AL 35242CRD# 4879505Firm CRD# 314889

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Walter Allen · BIRMINGHAM, AL

Registration

CRD #4879505 · STONEGATE INVESTMENT GROUP, LLC · 20 years registered

Brand Profile

Not yet started

Career History

NEWEDGE ADVISORS

Dec 2025 – present

STONEGATE INVESTMENT GROUP, LLC

Jul 2021 – Dec 2025

BIRMINGHAM, AL

UBS FINANCIAL SERVICES INC.

Nov 2012 – Jul 2021

ATLANTA, GA

GENSPRING FAMILY OFFICES, LLC

May 2007 – Oct 2012

ATLANTA, GA

MORGAN KEEGAN & COMPANY, INC.

Apr 2006 – Nov 2006

MEMPHIS, TN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 63

Series 66

Registration record

First registered · April 5, 2006

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

STONEGATE INVESTMENT GROUP, LLC

CRD 314889 · SEC 801-121509

AUM

$4.6B

Regulatory assets under management

Employees

2,572 client accounts

Services offered by STONEGATE INVESTMENT GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at STONEGATE INVESTMENT GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does James Walter Allen offer?

James Walter Allen specializes in Financial Planning, Investment Management, Retirement Planning. Contact their office in BIRMINGHAM, Alabama for a consultation.

What are James Walter Allen's credentials?

James Walter Allen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Walter Allen located?

James Walter Allen is based in BIRMINGHAM, Alabama, working with STONEGATE INVESTMENT GROUP, LLC. Their office serves clients in the BIRMINGHAM metropolitan area and surrounding communities.

How does James Walter Allen charge for services?

James Walter Allen's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STONEGATE INVESTMENT GROUP, LLC?

STONEGATE INVESTMENT GROUP, LLC has approximately 13 employees and manages $4.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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