James W. Browne

COLEMAN RIVER CAPITAL LLC

DALLAS, TX

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CRD#: 1189996

Professional summary

James Wade Browne is a registered financial advisor currently at COLEMAN RIVER CAPITAL LLC located in Dallas, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Wade Browne'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®

None

Experience

Current

October 30, 2003 - Present

COLEMAN RIVER CAPITAL LLC

RIA

CRD#: 128421

DALLAS, TX

Past

September 26, 2003 - June 14, 2011

MAYMONT PARTNERS, INC.

CRD#: 120536

RICHMOND, VA

Past

September 22, 2000 - September 17, 2003

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 28, 1995 - September 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 7, 1987 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 13, 1985 - July 15, 1987

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

September 21, 1983 - September 20, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

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

Texas
(10/30/2003)

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: 2/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 3/18/1996

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 3/18/1996

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 10/24/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Current Firm

COLEMAN RIVER CAPITAL LLC

COLEMAN RIVER CAPITAL LLC | COLEMAN RIVER CAPITAL, LLC DBA CATAMOUNT-CRC PARTNERS | COLEMAN RIVER CAPITAL, LLC

CRD#: 128421 / SEC#: 801-62385

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2012 Approved)

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

Dallas, TX

Mailing Address

Phone number

(214) 522-7843

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 24,040,027

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 W. Browne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wade Browne's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAYMONT PARTNERS, INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

J.P. MORGAN SECURITIES LLC

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/4/1992

Series 63

Date: 9/29/1983

Series 15

Date: 3/18/1996

Series 5

Date: 3/18/1996

Series 3

Date: 10/24/1983

Series 7

Date: 9/17/1983

Current Firm

COLEMAN RIVER CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COLEMAN RIVER CAPITAL LLC

TRUST BUT VERIFY

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