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James Robert Allan

ASC WEALTH & RETIREMENT ADVISORS LLC·APPLETON, Wisconsin
Clean recordASC 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
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

James Robert Allan is a registered financial advisor based in APPLETON, Wisconsin, affiliated with ASC WEALTH & RETIREMENT ADVISORS LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Investment Management
Client Types
Individuals
Introduction

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03

Firm Overview

Firm
ASC WEALTH & RETIREMENT ADVISORS LLC
ASC 401(K) MANAGEMENT
AUM
$46M
Regulatory assets under management
Employees
2
Total firm employees
View all advisors at ASC WEALTH & RETIREMENT ADVISORS LLC →
Services
Portfolio management (individuals)
Publication of periodicals/newsletters
04

Background

Compensation
Percentage of AUM
Hourly charges
Regulatory
SEC/IARD CRD# 1189422
Firm CRD# 220516
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does James Robert Allan offer?
James Robert Allan specializes in Investment Management. Contact their office in APPLETON, Wisconsin for a consultation.
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, working with ASC WEALTH & RETIREMENT ADVISORS LLC. Their office serves clients in the APPLETON metropolitan area and surrounding communities.
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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Other Advisors at ASC WEALTH & RETIREMENT ADVISORS LLC

Nathan Daniel Schleicher
APPLETON, WI

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Nearby cities in Wisconsin
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Research
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