JG
James H. Goolsby
SOWELL MANAGEMENT
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 SOWELL MANAGEMENT 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 20 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.
1) Sowell Management. Investment related. Atlanta, GA. Investment Advisor Rep of RIA firm. Start date: November 2020. Part time during trading hours. 2) Paragon Wealth Counselors, Investment related, Atlanta, GA. President and Owner; DBA for securities related activities. 21-40 hours/month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Hobart Goolsby'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®
Experience
Current
November 17, 2020 - Present
SOWELL MANAGEMENT
Office #1: 3495 Piedmont Road Ne Building 10, Suite 115, Atlanta, GA 30305RIA
CRD#: 127145
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 30253BD
CRD#: 36673
ATLANTA, GA
Past
April 25, 2022 - January 31, 2025
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
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".
SM
SOWELL MANAGEMENT
10X WEALTH ADVISORS, INC. | ZENITH GROUP, LLC | XO ADVISORS | WORRELL ADVISORY SERVICES | WISDOMWEALTH FINANCIAL | WILLOW OAK WEALTH | WESTERN FINANCIAL, LLC | WEAVER CAPITAL ADVISORS | WEALTHCARE ADVISORS | WEALTH MANAGEMENT PARTNERS | WEALTH IN OVERDRIVE | WAYFINDER CAPITAL, LLC | WATTS WEALTH MANAGEMENT | VERDEO FINANCIAL & INSURANCE STRATEGIES | VALUE WEALTH | TRIUMPHANT PORTFOLIO MANAGEMENT, LLC | TREK WEALTH SOLUTIONS | THE AUGUST WEALTH MANAGEMENT GROUP | TETON WEALTH GROUP | SUNSET WEST ADVISORS, LLC | SUMMATION INVESTMENT ADVISORY | STRATEGIC PLANNING CORPORATION | STRATEGIC FINANCIAL PLANNING, LLC | SOWELL MANAGEMENT SERVICES | SOWELL MANAGEMENT | SOWELL FINANCIAL SERVICES, LLC | SOWELL FINANCIAL SERVICES | SOWELL FINANCIAL ADVISORS | SOWELL ADVISORS | SOUTHCOAST FINANCIAL GROUP | SOUND WEALTH, LLC | SOLERA ASSET MANAGERS & INSURANCE AGENCY, LLC | SOLERA ASSET MANAGERS | SOLERA ASSET MANAGEMENT & INSURANCE | SENTINEL WEALTH STRATEGIES | SC WEALTH MANAGEMENT | SAPPHIRE WEALTH MANAGEMENT | RIVERS INVESTMENT GROUP | REVIRESCO WEALTH ADVISORY | REPPOND INVESTMENTS | REAGAN HOLLOWAY | PROVIDENCE FINANCIAL GROUP, INC. | PRESCAP ADVISORS LLC | POYNTER CAPITAL INC. | PNW PREMIER WEALTH | PLATINUM WEALTH MANAGEMENT | PEGASUS FINANCIAL PLANNING | PEAR TREE WEALTH MANAGEMENT | PARAGON WEALTH COUNSELORS | NORTHSTAR WEALTH MANAGEMENT INC. | NORTH STAR WEALTH MANAGEMENT LLC | NEW WAVE WEALTH ADVISORS, LLC | NEST FINANCIAL LLC | NESHER WEALTH | MULLENNIUM FINANCE, LLC | MT. BAKER CAPITAL, L.L.C. | MORGAN STRATEGIC WEALTH, LLC | MIDWEST INVESTMENT AND BUSINESS ADVISORS, PLLC | MENLO OAKS CAPITAL GROUP | MADISON PARK ADVISORS | LONDON HOUSE CAPITAL | LIGHTHOUSE WEALTH STRATEGIES | LIFESMART WEALTH MANAGEMENT, LLC | LIFESMART FINANCIAL ADVISORS, LLC | LEWIN & ASSOCIATES, INC | LEINSTER FINANCIAL | LAMPE FINANCIAL, LLC | LAMPE FINANCIAL GROUP, LLC | KUMQUAT, LLC | KAN WEALTH MANAGEMENT | JB INDEPENDENT FINANCIAL, INC. | JB INDEPENDENT FINANCIAL | JAMES GRAHAN | JACOBS FINANCIAL ADVISORS | IPSEN ADVISOR GROUP | INTEGRA PRIVATE WEALTH MANAGEMENT | HUNT WEALTH MANAGEMENT | HERITAGE OAK WEALTH ADVISORS, LLC | HARVEST MOON WEALTH ADVISORS | GOAL LINE WEALTH MANAGMENT | GENERATIONS INVESTMENT ADVISORS, LLC | FORTRESS MEGA | FORTRESS FINANCIAL | FORECAST CAPITAL MANAGEMENT, INC | FONTIS INVESTMENTS | FIRST FINANCIAL SERVICES, LLC | EXIGENT WEALTH COUNSELORS LLC | EVIDENCE BASED ADVISORS, LLC | EPERSONAL FINANCIAL | ENDURANCE FINANCIAL | ELLIS WEALTH ADVISORS | ELEMENT FINANCIAL L.L.C. | EKW ADVANTAGE | EAGLE EYE ADVISORS | DS FINANCIAL STRATEGIES | DJF INVESTMENT CORPORATION | DIANNE MAE FINANCIAL | CORINTHIAN WEALTH MANAGEMENT | COOPERATIVE FINANCIAL, LLC | COMPENSATION DESIGNS | CLINTON WEALTH MANAGEMENT LLC | CLINTON WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT | CLEARWEALTH | CLARUS WEALTH MANAGEMENT | CHARTED CAPITAL, LLC | CENTRAL COAST WEALTH ADVISORS, LLC | CAYUCOS WEALTH | CATALYST COUNSELORS | CADENCE CAPITAL MANAGEMENT | BUIS CAPITAL MANAGEMENT | BRINGHURST FINANCIAL SERVICE, L.L.L. | BELLWETHER ADVISORY GROUP, LLC | BARRY L. MOSS & ASSOCIATES, INC. | BARCLAY BRELAND FAMILY OFFICE | AUGUST WEALTH MANAGEMENT GROUP | APEX ASSET ADVISORS, LLC | AMICUS FINANCIAL | ALEXIS INVESTMENT PARTNERS, LLC | AIT WEALTH MANAGEMENT | ADVISORY FIDUCIARY | ADVISORS 360
CRD#: 127145 / SEC#: 801-63991
RIA
Registered Investment Advisory firm - (5/27/2005 Approved)Arkansas
Registered Investment Advisory firm - (3/1/2005 Terminated)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
IAR
Georgia(11/17/2020)
RR
Georgia(1/30/2025)
RR
Texas(1/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
SM
SOWELL MANAGEMENT
10X WEALTH ADVISORS, INC. | ZENITH GROUP, LLC | XO ADVISORS | WORRELL ADVISORY SERVICES | WISDOMWEALTH FINANCIAL | WILLOW OAK WEALTH | WESTERN FINANCIAL, LLC | WEAVER CAPITAL ADVISORS | WEALTHCARE ADVISORS | WEALTH MANAGEMENT PARTNERS | WEALTH IN OVERDRIVE | WAYFINDER CAPITAL, LLC | WATTS WEALTH MANAGEMENT | VERDEO FINANCIAL & INSURANCE STRATEGIES | VALUE WEALTH | TRIUMPHANT PORTFOLIO MANAGEMENT, LLC | TREK WEALTH SOLUTIONS | THE AUGUST WEALTH MANAGEMENT GROUP | TETON WEALTH GROUP | SUNSET WEST ADVISORS, LLC | SUMMATION INVESTMENT ADVISORY | STRATEGIC PLANNING CORPORATION | STRATEGIC FINANCIAL PLANNING, LLC | SOWELL MANAGEMENT SERVICES | SOWELL MANAGEMENT | SOWELL FINANCIAL SERVICES, LLC | SOWELL FINANCIAL SERVICES | SOWELL FINANCIAL ADVISORS | SOWELL ADVISORS | SOUTHCOAST FINANCIAL GROUP | SOUND WEALTH, LLC | SOLERA ASSET MANAGERS & INSURANCE AGENCY, LLC | SOLERA ASSET MANAGERS | SOLERA ASSET MANAGEMENT & INSURANCE | SENTINEL WEALTH STRATEGIES | SC WEALTH MANAGEMENT | SAPPHIRE WEALTH MANAGEMENT | RIVERS INVESTMENT GROUP | REVIRESCO WEALTH ADVISORY | REPPOND INVESTMENTS | REAGAN HOLLOWAY | PROVIDENCE FINANCIAL GROUP, INC. | PRESCAP ADVISORS LLC | POYNTER CAPITAL INC. | PNW PREMIER WEALTH | PLATINUM WEALTH MANAGEMENT | PEGASUS FINANCIAL PLANNING | PEAR TREE WEALTH MANAGEMENT | PARAGON WEALTH COUNSELORS | NORTHSTAR WEALTH MANAGEMENT INC. | NORTH STAR WEALTH MANAGEMENT LLC | NEW WAVE WEALTH ADVISORS, LLC | NEST FINANCIAL LLC | NESHER WEALTH | MULLENNIUM FINANCE, LLC | MT. BAKER CAPITAL, L.L.C. | MORGAN STRATEGIC WEALTH, LLC | MIDWEST INVESTMENT AND BUSINESS ADVISORS, PLLC | MENLO OAKS CAPITAL GROUP | MADISON PARK ADVISORS | LONDON HOUSE CAPITAL | LIGHTHOUSE WEALTH STRATEGIES | LIFESMART WEALTH MANAGEMENT, LLC | LIFESMART FINANCIAL ADVISORS, LLC | LEWIN & ASSOCIATES, INC | LEINSTER FINANCIAL | LAMPE FINANCIAL, LLC | LAMPE FINANCIAL GROUP, LLC | KUMQUAT, LLC | KAN WEALTH MANAGEMENT | JB INDEPENDENT FINANCIAL, INC. | JB INDEPENDENT FINANCIAL | JAMES GRAHAN | JACOBS FINANCIAL ADVISORS | IPSEN ADVISOR GROUP | INTEGRA PRIVATE WEALTH MANAGEMENT | HUNT WEALTH MANAGEMENT | HERITAGE OAK WEALTH ADVISORS, LLC | HARVEST MOON WEALTH ADVISORS | GOAL LINE WEALTH MANAGMENT | GENERATIONS INVESTMENT ADVISORS, LLC | FORTRESS MEGA | FORTRESS FINANCIAL | FORECAST CAPITAL MANAGEMENT, INC | FONTIS INVESTMENTS | FIRST FINANCIAL SERVICES, LLC | EXIGENT WEALTH COUNSELORS LLC | EVIDENCE BASED ADVISORS, LLC | EPERSONAL FINANCIAL | ENDURANCE FINANCIAL | ELLIS WEALTH ADVISORS | ELEMENT FINANCIAL L.L.C. | EKW ADVANTAGE | EAGLE EYE ADVISORS | DS FINANCIAL STRATEGIES | DJF INVESTMENT CORPORATION | DIANNE MAE FINANCIAL | CORINTHIAN WEALTH MANAGEMENT | COOPERATIVE FINANCIAL, LLC | COMPENSATION DESIGNS | CLINTON WEALTH MANAGEMENT LLC | CLINTON WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT | CLEARWEALTH | CLARUS WEALTH MANAGEMENT | CHARTED CAPITAL, LLC | CENTRAL COAST WEALTH ADVISORS, LLC | CAYUCOS WEALTH | CATALYST COUNSELORS | CADENCE CAPITAL MANAGEMENT | BUIS CAPITAL MANAGEMENT | BRINGHURST FINANCIAL SERVICE, L.L.L. | BELLWETHER ADVISORY GROUP, LLC | BARRY L. MOSS & ASSOCIATES, INC. | BARCLAY BRELAND FAMILY OFFICE | AUGUST WEALTH MANAGEMENT GROUP | APEX ASSET ADVISORS, LLC | AMICUS FINANCIAL | ALEXIS INVESTMENT PARTNERS, LLC | AIT WEALTH MANAGEMENT | ADVISORY FIDUCIARY | ADVISORS 360
CRD#: 127145 / SEC#: 801-63991
RIA
Registered Investment Advisory firm - (5/27/2005 Approved)Arkansas
Registered Investment Advisory firm - (3/1/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5320 Northshore Drive, North Little Rock, AR 72118
Mailing Address
Phone number
(501) 219-2434
Established
Firm type
Fiscal year end
# of Employees
146
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,257 |
| AUM (Assets Under Management) | $ 4,230,990,937 |
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.
