James M. Perry

KEEL POINT

RICHMOND, VA

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CRD#: 1189342

Professional summary

James Michael Perry, who also goes by Mike Perry, is a registered financial advisor currently at KEEL POINT, LLC located in Richmond, Virginia and KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.

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 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Perry

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Perry'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

October 3, 2014 - Present

KEEL POINT, LLC

RIA

CRD#: 127902

RICHMOND, VA

Current

October 3, 2014 - Present

KEEL POINT CAPITAL, LLC

Office #1: 100 Church Street Suite 500, Huntsville, AL 35801

CRD#: 6769

Huntsville, AL

Past

August 27, 2009 - September 8, 2014

WFG ADVISORS, LP

RIA

CRD#: 125073

DALLAS, TX

Past

August 27, 2009 - September 8, 2014

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

March 7, 2001 - July 28, 2008

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

March 16, 1998 - July 28, 2008

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

September 26, 1983 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

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".

KEEL POINT, LLC

BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC

CRD#: 127902 / SEC#: 801-62249

RIA

Registered Investment Advisory firm - (8/1/2003 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.

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

Virginia
(10/3/2014)

IAR

Virginia
(10/3/2014)

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

IAR

Series 65

Date: 8/30/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1997

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: 11/27/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/23/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/17/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/26/1987

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

KEEL POINT, LLC

BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC

CRD#: 127902 / SEC#: 801-62249

RIA

Registered Investment Advisory firm - (8/1/2003 Approved)

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Contact information

Main Address

100 Church Street Suite 500, Huntsville, AL 35801

Mailing Address

Phone number

(256) 704-5111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEEL POINT ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (5/29/2025)

KEEL POINT BROCHURE FORM ADV 2A (5/29/2025)

Regulatory assets under management

Total Number of Accounts	5,626
AUM (Assets Under Management)	$ 3,464,607,203

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/30/2025	Cover Page	Report
01/26/2024	Cover Page	Report
10/25/2022	Cover Page	Report

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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Firm Stability Insights

James M. Perry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Perry's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEL POINT CAPITAL, LLC

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

KEEL POINT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2000

Series 63

Date: 8/25/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/27/1999

Series 6

Date: 9/23/1983

Series 51

Date: 3/17/2003

Series 24

Date: 12/18/1999

Series 26

Date: 8/26/1987

FINRA

Current Firm

KEEL POINT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KEEL POINT, LLC

TRUST BUT VERIFY

Contact information

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