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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

JAMES ROBERT ALLEN

Advisor at ANCHOR BAY CAPITAL, INC.

Carlsbad, CA

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Search this name across graphsid dfx:ria:41bbe789-b1ad-c00d-0d1f-edf561f7c077

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 15, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ANCHOR BAY CAPITAL, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 15, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Jul 24, 2015
First registration: Oct 15, 2002
Dual registered: yes, broker-dealer
Other names: JAMES ROBERT (JR) ALLEN|JIM ALLEN|JAMES ROBERT ALLEN
IAPD individual key: 1882869

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ANCHOR BAY PRIVATE WEALTH LLC	Independent wealth	Aug 4, 2023	n/a	yes	Carlsbad, CA	Current employment
ANCHOR BAY CAPITAL, INC.	Independent wealth	Mar 4, 2019	n/a	yes	Carlsbad, CA	Current employment
USA FINANCIAL SECURITIES LLC	Independent wealth	Jun 7, 2016	Mar 1, 2019	no	Tustin, CA\|ADA, MI	Previous registration
FINANCIAL ADVISORS NETWORK, INC.	Independent wealth	Jul 29, 2015	Sep 8, 2015	no	TUSTIN, CA	Previous registration
SENTINEL ADVISORY SERVICES, INC.	n/a	Oct 15, 2002	Dec 31, 2004	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
USA FINANCIAL SECURITIES LLC	ANCHOR BAY CAPITAL, INC.	Mar 1, 2019	Mar 4, 2019	3	Firm change	RIA to RIA
FINANCIAL ADVISORS NETWORK, INC.	USA FINANCIAL SECURITIES LLC	Sep 8, 2015	Jun 7, 2016	273	Firm change	Other
SENTINEL ADVISORY SERVICES, INC.	FINANCIAL ADVISORS NETWORK, INC.	Dec 31, 2004	Jul 29, 2015	3,862	Firm change after gap	Other

Relationships

Registered with (5)

→ ANCHOR BAY PRIVATE WEALTH LLCRegistered adviserregistration: current employment
Aug 4, 2023 to presentfactForm ADV
→ ANCHOR BAY CAPITAL, INC.Registered adviserregistration: current employment
Mar 4, 2019 to presentfactForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
Jun 7, 2016 to Mar 1, 2019factForm ADV
→ FINANCIAL ADVISORS NETWORK, INC.Registered adviserregistration: previous registration
Jul 29, 2015 to Sep 8, 2015factForm ADV
→ SENTINEL ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Oct 15, 2002 to Dec 31, 2004factForm ADV

Dated events

No dated event names this entity yet.