James Allen has been President of Anchor Bay Capital since June 2020, is a control person of the firm and directly owns between 25% and 50% of it. James Allen holds a Bachelor of Arts from California State University, Fullerton and a Master's Degree in Financial Planning & Taxation from The American College.
Anchor Bay Capital, Inc. is a Carlsbad, CA firm with $247M under management, 190 clients and 5 advisers across 2 offices, as of its March 2026 filing.
Jim Allen is Senior Financial Planner at Anchor Bay Capital. He has been helping clients plan for and work toward their financial goals for over 35 years. Before joining Anchor Bay, he was a partner in an Orange County advisory firm and spent 14 years as Vice President and National Director of the Wealth Advisory Group for MetLife Investors. He is a former instructor of the CFP program at the University of California Irvine.
James Allen’s longest registration is the current one, 7 years at Anchor Bay Capital since 2019. Before joining Anchor Bay Capital in 2019, James Allen was registered through USA Financial Securities Corporation and Financial Advisors Network.
- Anchor Bay Private Wealth LLC– · 3 yearsCarlsbad, CA · Adviser representative · Firm CRD 327418
- Anchor Bay Capital, Inc.Current– present · 7 yearsCarlsbad, CA · Adviser representative · Firm CRD 116913
- USA Financial Securities Corporation– · 2 yearsTustin, CA · Adviser representative · Firm CRD 103857
- Financial Advisors Network– · under a yearTustin, CA · Adviser representative · Firm CRD 152083
- Sentinel Advisory Services, Inc.– · 1 yearHouston, TX · Adviser representative · Firm CRD 119332
- Sentinel Advisory Services, Inc.– · under a yearHouston, TX · Adviser representative · Firm CRD 119332
Professional designations
Listed by Anchor Bay Capital
- CFP®
- CDFA®
- ChFC®
- EA
Investment adviser representative registrations
James Allen is registered as an investment adviser representative in California, since March 2019.
- CaliforniaSince 4 March 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 18 August 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 July 2015 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 30 January 2002 |
| Series 7 | General Securities Representative Examination | 25 July 1990 |
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- General Securities Representative Examination
- Full name
- James Robert Allen
- CRD
- 1882869
- Firm
- Anchor Bay Capital · CRD 116913
- Role
- President
- Office
- 5780 Fleet Street, Suite 308, Carlsbad, CA 92008
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- anchorbaycapital.com
Where does James Allen work?
James Allen has been President of Anchor Bay Capital, Inc. since June 2020, and is a control person of the firm.
Is James Allen a financial advisor?
Yes. James Allen has a current investment-adviser registration in California, through Anchor Bay Capital since March 2019.
How many years of experience does James Allen have?
James Allen has 29 years in the financial industry, since July 1997, across 5 adviser firms.
What exams has James Allen passed?
James Allen has passed 4 licensing exams: the Series 7, Series 6, Series 63 and Series 26. The earliest, the Series 7, was passed in July 1990. FINRA credited James Allen with the SIE, which began in October 2018.
Where did James Allen work before Anchor Bay Capital?
Before Anchor Bay Capital, James Allen was registered through USA Financial Securities Corporation, June 2016 to March 2019; Financial Advisors Network, July 2015 to September 2015; Sentinel Advisory Services, Inc., May 2003 to December 2004; Sentinel Advisory Services, Inc., October 2002 to December 2002.
Where is James Allen based?
James Allen’s registered office is in Carlsbad, CA.
Is James Allen registered with FINRA?
Yes. James Allen has a current broker registration, under CRD 1882869.
Source: FINRA BrokerCheck
Is James Allen a CFP?
Anchor Bay Capital lists James Allen with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Jim Allen, CFP®, CDFA®, EA biography, anchorbaycapital.com
How can I verify James Allen’s record?
Search CRD 1882869 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Allen’s full registration record.
