James G. Mcgrath

FINANCIAL STRATEGIES,

Dripping Springs, TX

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CRD#: 1123300

Professional summary

James George Mcgrath, CFP®, who also goes by James G Mcgrath, is a registered financial advisor currently at FINANCIAL STRATEGIES, INC located in Dripping Springs, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James G Mcgrath

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.

TAX PLANNING AND PREPARATION AT SAME ADDRESS AS ADVISORY BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James George Mcgrath'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®

CFP^®

Certified Financial Planner

Start date: 1984

Experience

Current

November 15, 2004 - Present

FINANCIAL STRATEGIES, INC

RIA

CRD#: 115828

Dripping Springs, TX

Past

January 21, 2000 - December 31, 2001

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

January 4, 1999 - December 31, 1999

MEDALLION INVESTMENT SERVICES, INC.

CRD#: 45314

SEVERNA PARK, MD

Past

August 23, 1996 - December 31, 1998

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

January 1, 1996 - August 20, 1996

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

February 14, 1995 - January 1, 1996

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710

Past

October 13, 1987 - February 15, 1995

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 4, 1985 - October 14, 1987

INVESTORS PROPERTIES, INC.

CRD#: 8724

Past

July 13, 1984 - February 12, 1985

GENERAL AMERICAN LIFE INSURANCE COMPANY

CRD#: 3963

Past

February 22, 1984 - February 13, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 29, 1983 - January 26, 1984

ALEXANDRA ARMSTRONG ASSOCIATES, INC.

CRD#: 13232

Past

April 19, 1983 - May 15, 1983

JULIA M. WALSH & SONS, INCORPORATED

CRD#: 7408

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

Maryland
(11/15/2004)

IAR

Texas
(11/3/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/4/1983

Registered Options Principal Examination

Current Firm

FINANCIAL STRATEGIES, INC

CRD#: 115828 / SEC#:

District of Columbia

Registered Investment Advisory firm - (11/23/2021 Terminated)

Maryland

Registered Investment Advisory firm - (7/3/1991 Approved)

Texas

Registered Investment Advisory firm - (11/3/2022 Approved)

Virginia

Registered Investment Advisory firm - (11/24/2021 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).

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Contact information

Main Address

Dripping Springs, TX

Mailing Address

Phone number

(301) 984-7750

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 17,931,679

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.

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Firm Stability Insights

James G. Mcgrath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James George Mcgrath's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES SERVICE NETWORK, LLC

MEDALLION INVESTMENT SERVICES, INC.

SECURITIES SERVICE NETWORK, LLC

IFG NETWORK SECURITIES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

INVESTORS PROPERTIES, INC.

GENERAL AMERICAN LIFE INSURANCE COMPANY

INTEGRATED RESOURCES EQUITY CORPORATION

ALEXANDRA ARMSTRONG ASSOCIATES, INC.

JULIA M. WALSH & SONS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/1994

Series 63

Date: 6/22/1983

Series 7

Date: 4/16/1983

Series 24

Date: 8/8/1995

Series 4

Date: 11/4/1983

Current Firm

FINANCIAL STRATEGIES, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL STRATEGIES, INC

TRUST BUT VERIFY

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