JP
James P. Pritchard
DELTA INVESTMENT MANAGEMENT
Durango, CO
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CRD#: 1063833
JP
Professional summary
James Patrick Pritchard, who also goes by Jim Pritchard, is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in Durango, Colorado.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. James has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Pritchard
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
JP Pritchard Investment Consulting (DBA for investment related business), Investment-Related, Address is the same as the office of employment address for the registrant. Start Date: 05/2020. Hours Dedicated: 10 hours per month (0 hours per month during trading hours) Duties: Write articles, create investment portfolio models. NorthStar Financial & Retirement Planning, LLC, Investment-Related, Address is the same as the office of employment address for the registrant, Financial Advisor, Start Date: 01/2021, Hours Dedicated: 40 hours per month (32.5 hours per month during trading hours) Duties: Retirement Planning with customers utilizing training + supporting staff. Rising Star Distributors, Non investment related, Address is the same as the office of employment address for the registrant, Consultant, Start Date: 5/2020, Hours Dedicated: 2 hours per month (0 hours per month during Trading hours) Duties: Refer RIAs and IARs to back office & administrative platforms and services.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Pritchard's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 14, 2021 - Present
DELTA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 149596
Durango, CO
Past
December 8, 2020 - May 14, 2021
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
DURANGO, CO
Past
June 6, 2018 - April 30, 2020
DONOGHUE FORLINES LLC
RIA
CRD#: 285403
Cave Creek, AZ
Past
August 20, 2010 - April 2, 2013
SWAN GLOBAL INVESTMENTS, LLC
RIA
CRD#: 114669
DURANGO, CO
Past
January 1, 1999 - December 31, 2005
PRITCHARD INVESTMENT MANAGEMENT
RIA
CRD#: 107380
DURANGO, CO
Past
June 2, 1995 - November 30, 1998
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
November 30, 1993 - June 1, 1995
CITIZENS JMP SECURITIES, LLC
BD
CRD#: 22208
SAN FRANCISCO, CA
Past
December 15, 1986 - November 22, 1993
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 6, 1986 - December 16, 1986
CONCORD ASSETS SECURITIES, INC.
BD
CRD#: 10533
Past
September 24, 1982 - October 9, 1985
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(4/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DI
DELTA INVESTMENT MANAGEMENT, LLC
DELTA INVESTMENT MANAGEMENT, LLC | VANCLEF FINANCIAL GROUP | URA GROUP AZ L.L.C. | RAIL-SPLITTER CAPITAL MANAGEMENT | PK WEALTH MANAGEMENT | OPEN SOURCE CAPITAL MANAGEMENT | NORTHSTAR FINANCIAL & RETIREMENT PLANNING, LLC | INTEGRATED FINANCIAL SOLUTIONS GROUP
CRD#: 149596 / SEC#: 801-114006
RIA
Registered Investment Advisory firm - (9/19/2018 Approved)California
Registered Investment Advisory firm - (11/13/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/19/2018 Terminated)Nevada
Registered Investment Advisory firm - (11/29/2018 Terminated)Texas
Registered Investment Advisory firm - (10/14/2018 Terminated)Washington
Registered Investment Advisory firm - (10/21/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
708 Montgomery Street, San Francisco, CA 94111
Mailing Address
204 E. 2nd Avenue, #906, San Mateo, CA 94401
Phone number
(415) 249-6337
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 770,787,222 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
