JH
James E. Harper
TRUSTMONT ADVISORY GROUP
Columbus, OH 43215
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CRD#: 1137830
JH
Professional summary
James Edward Harper, who also goes by James E Harper, is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in Columbus, Ohio and TRUSTMONT FINANCIAL GROUP, INC. located in Columbus, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 9 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 7TO, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Harper
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.
THOMAS-FENNER-WOODS AGENCY, INC.
1500 LAKE SHORE DRIVE, SUITE 400
COLUMBUS, OHIO 43204
NATURE: INSURANCE AGENCY
POSITION: INDEPENDENT CONTRACTOR, MANAGER, GROUP HEALTH & LIFE DIVISION. ENGAGE IN THE SALE OF ACCIDENT& HEALTH, DISABILITY, LIFE AND FIXED ANNUITIES.
START DATE: JAN 2001
HOURS: 80/MONTH
HOURS DURING SECURITY TRADING: VARIES
DETAILS: MAINTAIN AND GROW EXISTING BOOK OF GROUP LIFE AND HEALTH CLIENTS.
TRUSTMONT FINANCIAL GROUP
200 BRUSH RUN ROAD
SCENIC DRIVE PROFESSIONAL CENTER, SUITE A
GREENSBURG, PA 15601
NATURE: BROKER DEALER
POSITION: REGISTERED REPRESENTATIVE
HOURS: 20/MONTH
HOURS DURING SECURITY TRADING: VARIES
DUTIES: SERVICE CURRENT CLIENTS (4), PENSION PROGRAMS
DBA FOUR BRIDGES FINANCIAL SERVICE GROUP, LLC., 416 HART ST, STE B, MARIETTA, OHIO 45750,OWNER,SERVICE PENSION CONTRACTS, 80 HPM DURING SECURITIES TRADING
HOURS.
THE BURNEY COMPANY, 1500 LAKE SHORE DR, STE 400, COLUMBUS, OHIO 43204. PORTFOLIO MANAGEMENT. NO LONGER AFFILIATED WITH THE BURNEY COMPANY BUT STILL RECEIVING QUARTERLY TRAILS. 0 HPM.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Harper'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
August 8, 2011 - Present
TRUSTMONT ADVISORY GROUP, INC.
Office #1: 155 E Broad St Suite 800, Columbus, OH 43215RIA
CRD#: 106015
Columbus, OH
Current
April 3, 2007 - Present
TRUSTMONT FINANCIAL GROUP, INC.
Office #1: 155 E Broad St Suite 800, Columbus, OH 43215Office #2: 416 Hart Street Suite B, Marietta, OH 45750BD
CRD#: 18312
COLUMBUS, OH
Past
April 20, 2007 - August 2, 2011
THE BURNEY COMPANY
RIA
CRD#: 106945
COLUMBUS, OH
Past
February 23, 2000 - April 9, 2007
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
COLUMBUS, OH
Past
January 8, 1998 - February 22, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
January 22, 1992 - December 31, 1996
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
May 15, 1989 - January 1, 1990
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
January 20, 1986 - May 15, 1989
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
July 26, 1983 - January 29, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
July 26, 1983 - February 3, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
TA
TRUSTMONT ADVISORY GROUP, INC.
APPELMAN FINANCIAL | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMONT ADVISORY GROUP, INC. | TRUSTMARK ADVISORY GROUP, INC. | PWR PLANNERS | PRAXIS CAPITAL | HORIZON FINANCIAL ADVISORS | HELMICK & COMPANY WEALTH ADVISORS, LLC | CHAPEL HILL CAPITAL MANAGEMENT INC
CRD#: 106015 / SEC#: 801-30694
RIA
Registered Investment Advisory firm - (11/27/1987 Approved)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.RR
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
RR
Ohio(4/4/2007)
IAR
Ohio(8/8/2011)
RR
West Virginia(4/3/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUSTMONT ADVISORY GROUP, INC.
APPELMAN FINANCIAL | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMONT ADVISORY GROUP, INC. | TRUSTMARK ADVISORY GROUP, INC. | PWR PLANNERS | PRAXIS CAPITAL | HORIZON FINANCIAL ADVISORS | HELMICK & COMPANY WEALTH ADVISORS, LLC | CHAPEL HILL CAPITAL MANAGEMENT INC
CRD#: 106015 / SEC#: 801-30694
RIA
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Contact information
Main Address
Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601
Mailing Address
Phone number
(724) 468-5665
Established
Firm type
Fiscal year end
# of Employees
59
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,387 |
| AUM (Assets Under Management) | $ 1,126,006,619 |
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.
