David S. James
Professional summary
David Sanford James is a registered financial advisor currently at COASTAL BRIDGE ADVISORS located in Eagle, Idaho.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Sanford James's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2016 - Present
COASTAL BRIDGE ADVISORS
May 13, 2011 - September 9, 2016
UBS FINANCIAL SERVICES INC.
May 13, 2011 - September 9, 2016
UBS FINANCIAL SERVICES INC.
November 7, 2007 - May 17, 2011
OPPENHEIMER & CO. INC.
April 15, 2003 - November 12, 2007
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - May 17, 2011
OPPENHEIMER & CO. INC.
November 10, 1997 - January 3, 2003
CIBC WORLD MARKETS CORP.
May 19, 1997 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 22, 1994 - April 21, 1997
CIBC WORLD MARKETS CORP.
November 20, 1990 - June 16, 1994
KIDDER, PEABODY & CO. INCORPORATED
February 29, 1988 - November 6, 1990
MORGAN STANLEY DW INC.
February 28, 1988 - November 6, 1990
MORGAN STANLEY DW INC.
November 19, 1985 - March 3, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
COASTAL BRIDGE ADVISORS
CRD#: 152569 / SEC#: 801-70943
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/20/2016)
(2/2/2023)
Exams
Current Firm
COASTAL BRIDGE ADVISORS
CRD#: 152569 / SEC#: 801-70943
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,000 |
| AUM (Assets Under Management) | $ 4,595,660,113 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 07/15/2024 | ||
| 11/13/2023 |
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.
