Unclaimed Profile

James Robert Allen

ANCHOR BAY CAPITAL, INC.·CARLSBAD, California

SIE, Series 6, Series 7, Series 26, Series 63CFPClean record23 years registeredANCHOR BAY CAPITAL, INC.

5780 FLEET ST., CARLSBAD, CA 92008CRD# 1882869Firm CRD# 116913

Profile Verification

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

Identity

James Robert Allen · CARLSBAD, CA

Registration

CRD #1882869 · ANCHOR BAY CAPITAL, INC. · 23 years registered

Brand Profile

Not yet started

Career History

ANCHOR BAY PRIVATE WEALTH LLC

Aug 2023 – present

ANCHOR BAY CAPITAL, INC.

Mar 2019 – present

USA FINANCIAL SECURITIES CORPORATION

Jun 2016 – Mar 2019

Tustin, CA

FINANCIAL ADVISORS NETWORK

Jul 2015 – Sep 2015

TUSTIN, CA

SENTINEL ADVISORY SERVICES, INC.

May 2003 – Dec 2004

HOUSTON, TX

SENTINEL ADVISORY SERVICES, INC.

Oct 2002 – Dec 2002

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 26

Series 63

Registration record

First registered · October 15, 2002

Years registered · 23

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ANCHOR BAY CAPITAL, INC.

CRD 116913 · SEC 801-107983

AUM

$209M

Regulatory assets under management

Employees

210 client accounts

Services offered by ANCHOR BAY CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ANCHOR BAY CAPITAL, INC. →

Introduction

Speak with James

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in CARLSBAD?

Browse all registered financial advisors in CARLSBAD, California or claim this profile if it's yours.

Browse CARLSBAD Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does James Robert Allen offer?

James Robert Allen specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CARLSBAD, California for a consultation.

What are James Robert Allen's credentials?

James Robert Allen holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Robert Allen located?

James Robert Allen is based in CARLSBAD, California, working with ANCHOR BAY CAPITAL, INC.. Their office serves clients in the CARLSBAD metropolitan area and surrounding communities.

How does James Robert Allen charge for services?

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

How large is ANCHOR BAY CAPITAL, INC.?

ANCHOR BAY CAPITAL, INC. has approximately 5 employees and manages $209M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →