James Davis Iv
Professional Summary
James Davis IV, who also goes by James Davis Jr, Jim Davis Jr, Jim Davis, is a registered financial advisor currently at CAPITAL PLANNING CONSULTANTS, LLC located in Cromwell, Connecticut. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Davis Jr, Jim Davis Jr, Jim Davis
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL PLANNING CONSULTANTS, LLC
Contact Information
Main Address
110 Court Street Suite #6, Cromwell, CT 06416Phone Number
(860) 635-2671# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
135AUM (Assets Under Management)
$37,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/27/1987)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1983About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Davis IV's CRS (Customer Relationship Summary).
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