James E. Anderson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Everett Anderson JR, who also goes by James E (jr) Anderson, Jim Anderson Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2012 - April 20, 2015
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
February 27, 2012 - May 1, 2015
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
September 8, 2006 - October 26, 2012
CG BROKERAGE L.L.C.
November 20, 2001 - February 27, 2012
CLIFTON GUNDERSON WEALTH ADVISORS
November 15, 2001 - October 10, 2005
CAP PRO BROKERAGE SERVICES, INC.
December 13, 2000 - October 24, 2001
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - October 24, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 5, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 22, 1994 - February 3, 1999
HEFREN-TILLOTSON, INC.
February 13, 1989 - February 4, 1994
THE ADVISORS GROUP, INC.
December 23, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
December 23, 1982 - February 25, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLIFTONLARSONALLEN LLP | SOLE MEMBER | |
| BLAND, WILLIAM CLAYTON | CHIEF EXECUTIVE OFFICER | 3259971 |
| BUFFIE, BRIAN JACOB | CHIEF COMPLIANCE OFFICER | 5532207 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL FINANCIAL OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL OPERATIONS OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | FINANCIAL OPERATIONS PRINCIPAL | 4587577 |
Regulatory assets under management
| Total Number of Accounts | 22,382 |
| AUM (Assets Under Management) | $ 13,324,042,941 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2025 | ||
| 09/10/2024 | ||
| 08/16/2023 |
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.
