James M. Peebles

FINANCIAL SECURITY SOLUTIONS,

NEWPORT BEACH, CA 92660

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CRD#: 1506383

Professional summary

James Marvin Peebles is a registered financial advisor currently at FINANCIAL SECURITY SOLUTIONS, CORP. located in Newport Beach, California and OSAIC WEALTH, INC. located in Newport Beach, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 22 and Series 6 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.

1. CPA, TAX SERVICES, BOOK KEEPING AND/OR ACCOUNTING SERVICES, NO, PEEBLES FINANCIAL SERVICES, SOLE PROPRIETORSHIP, 4299 MACARTHUR BLVD #204 NEWPORT BEACH, CA 92660, OWNER, 1/1/1976, 150 HRS/MO, 30 DURING TRADING HRS, INCOME TAX PREPARATION. 2. INSURANCE, NO, PEEBLES FINANCIAL SERVICES, SOLE PROPRIETORSHIP, 4299 MACARTHUR BLVD #204 NEWPORT BEACH, CA 92660, OWNER, 1/1/1976, 1 HR/MO, 0 DURING TRADING HRS, INSURANCE SALES: FIXED LIFE, HEALTH; THROUGH: JACKSON NATIONAL, BLUE CROSS. 3. INVESTMENT ADVISORY SERVICES, YES, INDEPENDENT REGISTERED INVESTMENT ADVISOR: FINANCIAL SECURITY SOLUTIONS CORP, SOLE PROPRIETORSHIP, 4299 MACARTHUR BLVD #204 NEWPORT BEACH, CA 92660, ADVISOR, 1/1/2005, 20 HRS/MO, 5 DURING TRADING HRS, INVESTMENT ADVICE, FINANCIAL PLANNING FOR CLENTS. 4. REAL ESTATE RENTALS, NO, JIM PEEBLES, SOLE PROPRIETORSHIP, 4299 MACARTHUR BLVD #204 NEWPORT BEACH, CA 92660, OWNER, 1/1/2005, 1 HR/MO, 0 DURING TRADING HRS, THE RENTAL OF RESIDENTIAL DWELLING UNIT, CONDO, HOUSE.

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CRS (Client Relationship Summary) - RIA

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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

October 20, 2005 - Present

FINANCIAL SECURITY SOLUTIONS, CORP.

Office #1: 4299 Macarthur Blvd., Ste 204, Newport Beach, CA 92660

RIA

CRD#: 124085

NEWPORT BEACH, CA

Current

November 19, 1989 - Present

OSAIC WEALTH, INC.

Office #1: 4299 Macarthur Blvd. Suite 204, Newport Beach, CA 92660

RIA

CRD#: 23131

Newport Beach, CA

Past

November 3, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 22, 1987 - November 3, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

GLENDALE, CA

Past

June 9, 1986 - July 18, 1987

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

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.

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

Arizona
(11/10/2010)

California
(11/19/1989)

IAR

California
(10/20/2005)

Nevada
(7/27/2012)

New York
(3/29/2019)

Oregon
(1/6/2021)

Texas
(9/8/2016)

IAR

Texas
(1/26/2022)

Washington
(12/7/2005)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/11/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL SECURITY SOLUTIONS, CORP.

FINANCIAL SECURITY SOLUTIONS, CORP. | OAK HARBOR FINANCIAL

CRD#: 124085 / SEC#: 801-64446

RIA

Registered Investment Advisory firm - (5/16/2012 Terminated)

California

Registered Investment Advisory firm - (5/16/2012 Approved)

Louisiana

Registered Investment Advisory firm - (1/31/2023 Approved)

Texas

Registered Investment Advisory firm - (1/18/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

23734 Valencia Blvd, Suite 200, Valencia, CA 91355

Mailing Address

Phone number

(818) 344-7177

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 66,009,171

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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Firm Stability Insights

James M. Peebles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marvin Peebles's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CHRISTOPHER WEIL & COMPANY, INC

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1988

Series 22

Date: 6/11/1986

Series 6

Date: 6/6/1986

FINRA

Current Firm

FINANCIAL SECURITY SOLUTIONS, CORP.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL SECURITY SOLUTIONS, CORP.

TRUST BUT VERIFY

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