S. Jim Allen Email & Phone Number

Scottsdale, AZ

Consultant for business strategy, operations, sales (corporate training) and compliance. Helping businesses grow internally or by merger and acquisitions.

Chandler, AZ

Corporate Loan Servicing - working in a variety of areas for implementation of loans with FNMA, GNMA, Freddie Mac and other Investors. Communicating with Loan Officers, Operations Personnel and Borrowers to insure a smooth transition with the final loan process. Achieved 100% payment collections over 62 month period. Revised/improved process for.

• SAMCO Financial Services Inc. a full service retail investment firm. The SFS client base included individual clients, small to large businesses and high net worth individuals along with Pension Plans.
• Accountable for daily operations as well as long-term business development strategies including a multi-million dollar budget and payroll.
• Hired and trained sales force, operations staff and administrative assistants.
• Administered publication of all financial reporting.
• Further ignited assets under management exceeding $1.1B by playing a key personal role in hiring sales personnel and acquisition of other firms.
• Initiated nationwide business expansion by cultivating and nurturing relationships with independent investment firms and banking institutions.

Phoenix, AZ

Spearheaded all engagements with SEC, FINRA, and State Regulatory Agencies. Ensured adherence to regulatory requirements through internal audits. Communicated with private and governmental agencies to stay aligned with industry rules and practices.

Directed all aspects of business integration events, activities and initiatives. Restructured operations to achieve heightened performance and productivity, as well as improvements in customer satisfaction.

• Served as the primary stakeholder in forming Yee, Desmond, Schroeder & Allen, Inc., a full service investment retail brokerage firm and trading department with three other industry professionals.
• Ignited revenue growth over an 18-month period by 300%. Expanded operations from a single office to multiple locations within Arizona, California, Montana, New Mexico, and Texas.
• Hired and trained staff for sales and back office operations.
• Negotiated leasing contracts and service contracts.
• Initiated the merger of Yee, Desmond, Schroeder & Allen, Inc. with Penson Financial Services to expand their business into retail investment industry and would give SFS potential increase in working capital.