AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

James H. Goolsby

DAI WEALTH
ATLANTA, GA 30305
Some features on this profile are disabled
CRD#: 1334338
JG

Professional summary

James Hobart Goolsby, AIF®, who also goes by James Hobart Goolsby, Jimmy Goolsby, James Goolsby, is a registered financial advisor currently at DAI WEALTH, LLC located in Atlanta, Georgia and DAI SECURITIES, LLC located in Atlanta, Georgia.

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 21 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Hobart Goolsby | Jimmy Goolsby | James Goolsby

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 Hobart Goolsby'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

January 2, 2026 - Present

DAI WEALTH, LLC

Office #1: 3495 Piedmont Rd Bld 10 Ste 115, Atlanta, GA 30305
RIA
CRD#: 138938
ATLANTA, GA
Current

January 30, 2025 - Present

DAI SECURITIES, LLC

Office #1: 3495 Piedmont Road Bldg 10 Ste 115, Atlanta, GA 30305Office #2: 62 Macon St Suite 8, Mcdonough, GA 30253
BD
CRD#: 36673
ATLANTA, GA
Past

April 25, 2022 - January 31, 2025

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Atlanta, GA
Past

November 17, 2020 - January 5, 2026

SOWELL MANAGEMENT

RIA
CRD#: 127145
Atlanta, GA
Past

January 31, 2018 - November 18, 2020

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
ATLANTA, GA
Past

January 12, 2018 - November 18, 2020

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
MADISON, GA
Past

November 8, 2011 - January 17, 2018

MORGAN STANLEY

RIA
CRD#: 149777
ATLANTA, GA
Past

October 28, 2011 - January 17, 2018

MORGAN STANLEY

BD
CRD#: 149777
ATLANTA, GA
Past

November 30, 2009 - October 31, 2011

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
ATLANTA, GA
Past

November 20, 2009 - October 31, 2011

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
ATLANTA, GA
Past

October 28, 2005 - December 14, 2009

SCOTT & STRINGFELLOW, LLC

RIA
CRD#: 6255
ATLANTA, GA
Past

October 7, 2005 - December 14, 2009

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
ATLANTA, GA
Past

April 11, 2005 - November 4, 2005

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
ATLANTA, GA
Past

March 13, 2001 - November 4, 2005

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

September 24, 1998 - April 9, 2001

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

October 22, 1996 - September 18, 1998

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

January 27, 1995 - October 15, 1996

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

July 31, 1993 - January 27, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 24, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 26, 1992 - July 6, 1993

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 24, 1990 - April 9, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 30, 1990 - November 7, 1990

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

February 3, 1989 - May 4, 1990

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

December 17, 1987 - March 1, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

February 9, 1987 - January 1, 1988

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

June 5, 1985 - February 27, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

February 21, 1985 - June 14, 1985

WADDELL & REED

BD
CRD#: 866

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".
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.

CRD#: 138938 / SEC#: 801-66260

RIA
Registered Investment Advisory firm - (2/24/2006 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
Georgia
(1/30/2025)
IAR
Georgia
(1/5/2026)
RR
Texas
(1/30/2025)
IAR
Texas
(1/2/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/8/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/7/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/5/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.

CRD#: 138938 / SEC#: 801-66260

RIA
Registered Investment Advisory firm - (2/24/2006 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
Phone number
(404) 531-7080
Established
Firm type
Fiscal year end
# of Employees
32

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DAI WEALTH ADV PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts1,821
AUM (Assets Under Management)$ 267,417,235

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.

Company Information

DAI WEALTH, LLC

CRD#: 138938Atlanta, GA 30305

TRUST BUT VERIFY

Monitor James Goolsby

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert L Busby
Robert BusbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Atlanta, GA
TP
Tyrane PerryAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Atlanta, GA
KC
Kermit CottrellAdvisorCheck Check Mark
STATE FARM VP MANAGEMENT CORP.
RR
BLOOMINGTON, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.