William J. James

WILLIAM J. JAMES

BLOOMINGTON, IN 47404

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CRD#: 1341286

Professional summary

William John James, who also goes by Bill James, is a registered financial advisor currently at WILLIAM J. JAMES, INC. located in Bloomington, Indiana.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. William has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill James

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.

WILLIAM JOHN JAMES IS A PART-TIME CONSULTANT WITH ANHUI TIANHE AGRICULTURAL TECHNOLOGY CO., LTD. FROM TIME TO TIME, HE MAY OFFER CLIENTS ADVICE OR PRODUCTS FROM THOSE ACTIVITIES AND CLIENTS SHOULD BE AWARE THAT THESE SERVICES MAY INVOLVE A CONFLICT OF INTEREST. WILLIAM J. JAMES, INC. ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT AND CLIENTS ARE IN NO WAY REQUIRED TO UTILIZE THE SERVICES OF ANY REPRESENTATIVE OF WILLIAM J. JAMES, INC. IN SUCH INDIVIDUAL'S OUTSIDE CAPACITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William John James'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

March 19, 2004 - Present

WILLIAM J. JAMES, INC.

Office #1: 1602 West Third St. Ste. D, Bloomington, IN 47404

RIA

CRD#: 129467

BLOOMINGTON, IN

Past

December 3, 1998 - June 3, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

BLOOMINGTON, IN

Past

December 22, 1993 - June 3, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 2, 1991 - November 17, 1993

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

November 17, 1989 - December 31, 1990

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

Past

February 4, 1989 - November 27, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

Past

January 22, 1986 - November 27, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

January 10, 1986 - December 31, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

June 21, 1985 - January 21, 1986

PFS INVESTMENTS INC.

CRD#: 10111

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

Indiana
(3/19/2004)

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: 1/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/11/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/1994

General Securities Principal Examination

Current Firm

WILLIAM J. JAMES, INC.

CRD#: 129467 / SEC#:

Indiana

Registered Investment Advisory firm - (2/2/2004 Approved)

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Contact information

Main Address

Fisher, IN

Mailing Address

Po Box 716, Fishers, IN 46038

Phone number

(812) 272-3743

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 4,661,157

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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Advisor Monitoring

Firm Stability Insights

William J. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William John James's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CENTURY INVESTORS OF AMERICA, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/1998

Series 63

Date: 2/12/1985

Series 7

Date: 1/18/1986

Series 6

Date: 2/11/1985

Series 24

Date: 4/26/1994

Current Firm

WILLIAM J. JAMES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WILLIAM J. JAMES, INC.

TRUST BUT VERIFY

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