Unclaimed Profile

James Reid Allen

J.J.B. HILLIARD, W.L. LYONS, LLC·LOUISVILLE, Kentucky

SIE, Series 3, Series 5, Series 7, Series 24, Series 63, Series 99TOCFA23 years registeredJ.J.B. HILLIARD, W.L. LYONS, LLC

500 WEST JEFFERSON STREET, LOUISVILLE, KY 40202CRD# 1014622Firm CRD# 453

Profile Verification

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

Identity

James Reid Allen · LOUISVILLE, KY

Registration

CRD #1014622 · J.J.B. HILLIARD, W.L. LYONS, LLC · 23 years registered

Brand Profile

Not yet started

Career History

ROBERT W. BAIRD & CO. INCORPORATED

Oct 2019 – present

J.J.B. HILLIARD, W.L. LYONS, LLC

Jun 2003 – Oct 2019

LOUISVILLE, KY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 5

Series 7

Series 24

Series 63

Series 99TO

Registration record

First registered · June 3, 2003

Years registered · 23

Professional designation · CFA

Disclosure History

1999Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD 453 · SEC 801-23120

AUM

$9.3B

Regulatory assets under management

Employees

1,025

31,198 client accounts

Services offered by J.J.B. HILLIARD, W.L. LYONS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at J.J.B. HILLIARD, W.L. LYONS, LLC →

Introduction

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Frequently Asked Questions

What services does James Reid Allen offer?

James Reid Allen specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LOUISVILLE, Kentucky for a consultation.

What are James Reid Allen's credentials?

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

Where is James Reid Allen located?

James Reid Allen is based in LOUISVILLE, Kentucky, working with J.J.B. HILLIARD, W.L. LYONS, LLC. Their office serves clients in the LOUISVILLE metropolitan area and surrounding communities.

How does James Reid Allen charge for services?

James Reid 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 J.J.B. HILLIARD, W.L. LYONS, LLC?

J.J.B. HILLIARD, W.L. LYONS, LLC has approximately 1025 employees and manages $9.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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