James C. Winters
Professional summary
James Cofer Winters, who also goes by Al Winters, James Allan Winters Jr, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Richmond, Virginia and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Cofer Winters's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2021 - Present
IP FINANCIAL ADVISORY SERVICES LLC
April 23, 2021 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210April 1, 2021 - April 30, 2021
GROVE POINT ADVISORS, LLC
February 6, 2008 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
November 11, 2005 - April 23, 2021
GROVE POINT INVESTMENTS, LLC
October 24, 1995 - February 5, 2008
J. A. WINTERS, JR.
November 29, 1990 - November 3, 2005
INVESTORS SECURITY COMPANY, INC.
January 19, 1990 - November 22, 1990
GROVE POINT INVESTMENTS, LLC
December 2, 1988 - January 23, 1990
INVESTORS SECURITY COMPANY, INC.
March 3, 1986 - December 5, 1988
JOHN HANCOCK DISTRIBUTORS LLC
February 27, 1985 - March 17, 1986
INVESTORS SECURITY COMPANY, INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/23/2021)
(4/26/2021)
Exams
FINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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