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Detailed Report
JAMES ALLEN VALIS
JAMES ALLEN VALIS, CFP
CRD#: 2703234
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 22 SOUTH STREET SUITE 202
HOPKINTON, MA 01748
LPL FINANCIAL LLCCRD#: 6413 22 SOUTH STREET, SUITE 202
HOPKINTON, MA 01748
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2013 - Present (12 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2005 - 2013 (7 years)BEDWARD JONES (CRD# 250)2003 - 2005 (2 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2006 - 2013 (7 years)
License(s)

State Registrations

B
Alaska 8/13/2013
B
Massachusetts 3/13/2013
B
Florida 2/23/2021
IA
Massachusetts 3/18/2013
IA
Louisiana 8/5/2013
B
New Hampshire 2/23/2021
B
Maine 10/1/2019
IA
Texas 4/4/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
22 SOUTH STREET SUITE 202, HOPKINTON, MA 01748
Registered with this firm since 3/18/2013
B
LPL FINANCIAL LLC (CRD#:6413)
22 SOUTH STREET, SUITE 202, HOPKINTON, MA 01748
Registered with this firm since 3/13/2013
Previous Registration(s)
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IA
 01/06/2006 - 03/11/2013 STRATEGIC ADVISERS, INC. (CRD#:104555) FRAMINGHAM, MA
B
 10/25/2005 - 03/08/2013 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) FRAMINGHAM, MA
B
 01/02/2003 - 10/14/2005 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.