James A. Dabbs

ENVISION RETIREMENT LLC

Mesa, AZ

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CRD#: 1446385

Professional summary

James Allison Dabbs, who also goes by Jim Dabbs, James A. Dabbs, is a registered financial advisor currently at ENVISION RETIREMENT LLC located in Mesa, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Dabbs | James A. Dabbs

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. HOMESMART, 2913 N POWER RD STE 101, MESA, AZ, 5/2006 AS LICENSED REAL ESTATE AGENT/REFERRAL AGENT. NIR - 1/MO - 0/TRADING. 2.DESERT HORIZONS FINANCIAL, 7906 E KENWOOD ST, MESA, AZ, 12/2016 AS OWNER. INV REL - 50/WK - 8/TRADING. 3.INDEPENDENT INSURANCE AGENT, 7906 E KENWOOD ST, MESA, AZ, 5/1986 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10/WK - 2/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allison Dabbs'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

September 15, 2022 - Present

ENVISION RETIREMENT LLC

RIA

CRD#: 319587

Mesa, AZ

Past

January 3, 2017 - August 26, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Mesa, AZ

Past

July 8, 1994 - December 31, 2016

LPL FINANCIAL LLC

CRD#: 6413

MESA, AZ

Past

June 2, 1992 - July 14, 1994

GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968

SCOTTSDALE, AZ

Past

February 27, 1990 - June 10, 1992

WESTAMERICA INVESTMENT GROUP

CRD#: 6626

SCOTTSDALE, AZ

Past

May 26, 1987 - March 6, 1990

RL KOTROZO, INC.

CRD#: 12968

Past

February 19, 1986 - June 15, 1987

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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

Arizona
(9/20/2022)

IAR

California
(9/15/2022)

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: 9/14/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/1994

General Securities Principal Examination

Current Firm

ENVISION RETIREMENT LLC

DESERT HORIZONS FINANCIAL, LLC | ENVISION RETIREMENT LLC

CRD#: 319587 / SEC#:

Arizona

Registered Investment Advisory firm - (7/22/2022 Approved)

California

Registered Investment Advisory firm - (8/10/2022 Approved)

Texas

Registered Investment Advisory firm - (9/19/2022 Approved)

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Contact information

Main Address

430 W Warner Road Suite 108, Tempe, AZ 85284

Mailing Address

Phone number

(602) 888-3099

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	487
AUM (Assets Under Management)	$ 79,651,450

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

James A. Dabbs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allison Dabbs's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

GAINEY FINANCIAL SERVICES, INC.

WESTAMERICA INVESTMENT GROUP

RL KOTROZO, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/2022

Series 63

Date: 5/2/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 24

Date: 10/13/1994

Current Firm

ENVISION RETIREMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ENVISION RETIREMENT LLC

TRUST BUT VERIFY

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