Unclaimed Profile

James Robert Allan

ASC WEALTH & RETIREMENT ADVISORS LLC·APPLETON, Wisconsin

Series 6, Series 7, Series 22, Series 63, Series 65Clean record26 years registeredASC WEALTH & RETIREMENT ADVISORS LLC

5583 WATERFORD LANE, SUITE A, APPLETON, WI 54913CRD# 1189422Firm CRD# 220516

Profile Verification

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

Identity

James Robert Allan · APPLETON, WI

Registration

CRD #1189422 · ASC WEALTH & RETIREMENT ADVISORS LLC · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ASC WEALTH & RETIREMENT ADVISORS LLC

ASC 401(K) MANAGEMENT

May 2015 – Jul 2021

APPLETON, WI

VERUS INVESTMENT ADVISORY GROUP, INC.

Apr 2009 – Jun 2015

APPLETON, WI

SII INVESTMENTS, INC.

Sep 1999 – Apr 2009

APPLETON, WI

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 22

Series 63

Series 65

Registration record

First registered · September 24, 1999

Years registered · 26

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ASC WEALTH & RETIREMENT ADVISORS LLC

CRD 220516 · SEC 801-96217

AUM

$46M

Regulatory assets under management

Employees

206 client accounts

Services offered by ASC WEALTH & RETIREMENT ADVISORS LLC

Per Form ADV

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

View all advisors at ASC WEALTH & RETIREMENT ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does James Robert Allan offer?

James Robert Allan specializes in Investment Management.

What are James Robert Allan's credentials?

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

Where is James Robert Allan located?

James Robert Allan is based in APPLETON, Wisconsin, last registered with ASC WEALTH & RETIREMENT ADVISORS LLC.

How does James Robert Allan charge for services?

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

How large is ASC WEALTH & RETIREMENT ADVISORS LLC?

ASC WEALTH & RETIREMENT ADVISORS LLC has approximately 2 employees and manages $46M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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