James H. Johns

VIOS ASSET MANAGEMENT LLC

SAN FRANCISCO, CA 94108

Some features on this profile are disabled

CRD#: 1401531

Professional summary

James Harry Johns is a registered financial advisor currently at VIOS ASSET MANAGEMENT LLC located in San Francisco, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 24 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 Harry Johns'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

July 18, 2002 - Present

VIOS ASSET MANAGEMENT LLC

Office #1: 447 Sutter Street Suite 506-1233, San Francisco, CA 94108

RIA

CRD#: 120782

SAN FRANCISCO, CA

Past

July 30, 2007 - January 7, 2009

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

SAN FRANCISCO, CA

Past

November 29, 2005 - January 7, 2009

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

SAN FRANCISCO, CA

Past

June 13, 2005 - December 2, 2005

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN FRANCISCO, CA

Past

April 12, 2002 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

April 10, 2002 - April 12, 2002

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

SAN FRANCISCO, CA

Past

May 22, 1998 - April 12, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 26, 1992 - April 9, 1997

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

California
(7/18/2002)

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 66

Date: 4/9/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/25/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/2002

General Securities Principal Examination

Current Firm

VIOS ASSET MANAGEMENT LLC

KINETIC ASSET MANAGEMENT LLC | VIOS ASSET MANAGEMENT LLC | VIOS ASSET MANAGEMENT INC.

CRD#: 120782 / SEC#:

California

Registered Investment Advisory firm - (7/18/2002 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

447 Sutter Street Ste 708, San Francisco, CA 94108

Mailing Address

Po Box 320503, San Francisco, CA 94132

Phone number

(415) 352-1250

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 20,580,000

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James H. Johns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harry Johns's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2002

Series 63

Date: 3/10/1992

Series 7

Date: 2/25/1992

Series 24

Date: 7/22/2002

Current Firm

VIOS ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VIOS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors