James D. Bratcher

FINANCIAL MANAGEMENT ADVISORS

TULLAHOMA, TN 37388

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CRD#: 1068925

Professional summary

James Dietzen Bratcher Jr., who also goes by James D Bratcher Jr, James D Jr Bratcher, James Dietzen Bratcher Jr, James Dietzen Bratcher Jr., Jim Dietzen Bratcher, Jim Bratcher, James Dietzen Bratcher, is a registered financial advisor currently at FINANCIAL MANAGEMENT ADVISORS, INC. located in Tullahoma, Tennessee and SILVER OAK SECURITIES, INCORPORATED located in Tullahoma, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

1.TRUSTEE - SARA REGIONS FERELL TRUST - 115 N. JACKSON ST, TULLAHOMA, TN 37388 - TRUST - TRUSTEE - 06/27/2002 - 1% OF TIME - 4 HR/MO/TRD HRS - ALL NORMAL TRUST FUNCTIONS - NONINVESTMENT RELATED 2.Financial Management Advisors,Is Investment Related,,Investment Management,President,2001-11-01,140 hours per month,40 hours per month during trading hours,Salary Compensation,Overseeing day to day operations and acting as investment advisor rep. 3). "TN Cannabis Company, LLC",1411 N. Washington St., Tullahoma, TNIs Not Investment Related,,Cultivation and processing of Cannabis related products within legal limits as defined by TN Law.,Managing Member,2022-10-01,6 hours per month,0 hours per month during trading hours,Other Compensation,Profit and Losses 4. Tullahoma Sports Council,Is Not Investment Related,,Non-profit organization,President,2018-01-01,3 hours per month,0 hours per month during trading hours,No Compensation Compensation,"The Tullahoma Sports Council is a non-profit organization. Its mission is to define Tullahoma and the surrounding area as a premier sports and recreation destination, increase the City of Tullahoma's economic development, and improve the quality of life by cultivating annual sporting and recreation events"

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dietzen Bratcher Jr.'s CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 8, 2004 - Present

FINANCIAL MANAGEMENT ADVISORS, INC.

Office #1: 115 North Jackson Street Suite B, Tullahoma, TN 37388

RIA

CRD#: 117442

TULLAHOMA, TN

Current

February 11, 2022 - Present

SILVER OAK SECURITIES, INCORPORATED

Office #1: 115 N Jackson St, Tullahoma, TN 37388

RIA

CRD#: 46947

Tullahoma, TN

Past

January 22, 2004 - September 28, 2004

SSN ADVISORY, INC.

RIA

CRD#: 126090

TULLAHOMA, TN

Past

August 20, 1997 - August 29, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

TULLAHOMA, TN

Past

November 24, 1989 - December 8, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1989 - August 21, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 8, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 29, 1985 - January 1, 1987

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

October 12, 1982 - May 3, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

October 12, 1982 - May 3, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

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".

FINANCIAL MANAGEMENT ADVISORS, INC.

CRD#: 117442 / SEC#: 801-122762

RIA

Registered Investment Advisory firm - (11/29/2021 Approved)

Louisiana

Registered Investment Advisory firm - (11/2/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (3/30/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/24/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Tennessee
(7/8/2004)

Tennessee
(2/11/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/11/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/13/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/11/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 10/1/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

FINANCIAL MANAGEMENT ADVISORS, INC.

CRD#: 117442 / SEC#: 801-122762

RIA

Registered Investment Advisory firm - (11/29/2021 Approved)

Louisiana

Registered Investment Advisory firm - (11/2/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (3/30/2022 Terminated)

Virginia

Registered Investment Advisory firm - (12/24/2017 Terminated)

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Contact information

Main Address

115 N. Jackson Street, Tullahoma, TN 37388

Mailing Address

Po Box 1914, Tullahoma, TN 37388

Phone number

(931) 455-0151

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FMA ADV PART 2 3/24/2020 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	591
AUM (Assets Under Management)	$ 132,700,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James D. Bratcher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dietzen Bratcher Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

Primary Firm SEC Registration

FINANCIAL MANAGEMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/1982

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

Series 22

Date: 12/13/1983

Series 6

Date: 10/11/1982

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 10/1/1986

FINRA

Current Firm

FINANCIAL MANAGEMENT ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL MANAGEMENT ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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