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Allison A James

Other Names: Allison A Steffen, Allison A Steffen Ms
Firm:
Fidelity Brokerage Services LLC
Type: Registered Representative
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Description

Allison James a financial professional at Fidelity Brokerage Services LLC, a broker-dealer with over 9,700 registered representatives nationwide. Allison has held an industry securities registration for 5 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Allison A James has not answered any questions on Financial Q&A.

Top Guides

Allison A James has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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No client types listed.

Experience and Employment History

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Employer Years Dates
Fidelity Investments 6 years, 10 months Jul 2006 - Present
Fidelity Investments 9 months Oct 2005 - Jul 2006
Fifth Third Bank 9 months Feb 2005 - Nov 2005
Castellini 1 month Oct 2004 - Nov 2004
Dairy Queen 4 years, 9 months May 2000 - Feb 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
01/30/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 11/06/2006
General Securities Representative Examination Series 7 10/25/2006

Firm Compensation Arrangements

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No compensation arrangements listed.