David L. James

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CRD#: 1518984

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Lynn James was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 2, 2013 - January 2, 2020

BCU WEALTH ADVISORS, LLC

RIA

CRD#: 164173

VERNON HILLS, IL

Past

July 8, 2010 - December 31, 2017

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

IRVINE, CA

Past

July 7, 2010 - December 31, 2017

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

IRVINE, CA

Past

April 11, 2001 - July 6, 2010

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

IRVINE, CA

Past

January 21, 1999 - July 6, 2010

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

IRVINE, CA

Past

September 17, 1993 - January 19, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 17, 1993 - January 19, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 3, 1993 - April 23, 1993

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CRD#: 13741

EL PASO, TX

Past

November 13, 1992 - March 19, 1993

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

February 12, 1991 - July 1, 1991

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

Past

July 28, 1986 - February 11, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BCU WEALTH ADVISORS, LLC

CRD#: 164173 / SEC#: 801-81122

RIA

Registered Investment Advisory firm - (3/12/2015 Approved)

California

Registered Investment Advisory firm - (4/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (3/13/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (9/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (3/12/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/13/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/13/2015 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/28/1984

National Commodity Futures Examination

Current Firm

BCU WEALTH ADVISORS, LLC

CRD#: 164173 / SEC#: 801-81122

RIA

Registered Investment Advisory firm - (3/12/2015 Approved)

California

Registered Investment Advisory firm - (4/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (3/13/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (9/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (3/12/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/13/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/13/2015 Terminated)

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Contact information

Main Address

300 N. Milwaukee Avenue, Vernon Hills, IL 60061

Mailing Address

Phone number

(847) 932-8007

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 030725 (3/7/2025)

BCU WEALTH WRAP BROCHURE 021025 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	1,899
AUM (Assets Under Management)	$ 534,972,633

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

David L. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

FORTH FINANCIAL SECURITIES, CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BCU WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/1999

Series 63

Date: 7/28/1986

SIE

Date: 12/31/2017

Series 7

Date: 7/19/1986

Series 3

Date: 11/28/1984

Current Firm

BCU WEALTH ADVISORS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BCU WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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