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RIA / WealthAdvisor14 years in industry

JAMES ROBERT ALLEN

Advisor at TARTAN FINANCIAL GROUP, LLC

ANDOVER, KS

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Search this name across graphsid dfx:ria:f8909d60-a688-9ce6-2c84-294ee2beadb3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 5, 2011 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: TARTAN FINANCIAL GROUP, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 4, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 4, 2011
First registration: Nov 5, 2011
Dual registered: no
Other names: JAMES R ALLEN|James Robert Allen|James Allen
IAPD individual key: 5925654

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
TARTAN FINANCIAL GROUP, LLC	State registered	Aug 14, 2026	n/a	yes	ANDOVER, KS	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Nov 10, 2022	Aug 25, 2026	no	Andover, KS	Previous registration
MORGAN STANLEY	Wirehouse	Jul 12, 2018	Nov 14, 2022	no	Kansas City, MO\|Wichita, KS	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Feb 25, 2014	May 18, 2018	no	OVERLAND PARK, KS\|OVERLAND PARK, KS	Previous registration
Mariner	Bd affiliated wealth	Nov 5, 2011	Jan 9, 2014	no	OVERLAND PARK, KS	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	TARTAN FINANCIAL GROUP, LLC	Aug 25, 2026	Aug 14, 2026	-11	Firm change	Ibd to state RIA
MORGAN STANLEY	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Nov 14, 2022	Nov 10, 2022	-4	Firm change	Wirehouse to ibd
COMMONWEALTH FINANCIAL NETWORK	MORGAN STANLEY	May 18, 2018	Jul 12, 2018	55	Firm change	Ibd to wirehouse
Mariner	COMMONWEALTH FINANCIAL NETWORK	Jan 9, 2014	Feb 25, 2014	47	Firm change	Other

Relationships

Registered with (5)

→ TARTAN FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Aug 14, 2026 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Nov 10, 2022 to Aug 25, 2026factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 12, 2018 to Nov 14, 2022factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Feb 25, 2014 to May 18, 2018factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Nov 5, 2011 to Jan 9, 2014factForm ADV

Dated events

Occurred
Aug 25, 2026
Advisor changed firm
James Robert Allen left Cambridge Investment Research Advisors, Inc. for Tartan Financial Group, Llc (registered 2026-08-14)
Form ADVobserved 6 days ago
Occurred
Nov 14, 2022
Advisor changed firm
James Robert Allen left Morgan Stanley for Cambridge Investment Research Advisors, Inc. (registered 2022-11-10)
Form ADVobserved 6 days ago