James C. Mcdonald

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CRD#: 1527810

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.

James Carey Mcdonald, who also goes by James Mcdonald, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Mcdonald

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

December 15, 2015 - February 6, 2020

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

September 1, 2015 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

Scottsdale, AZ

Past

August 14, 2015 - February 6, 2020

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Scottsdale, AZ

Past

February 23, 2011 - July 11, 2013

JEFFERIES LLC

CRD#: 2347

CHICAGO, IL

Past

May 30, 2007 - January 10, 2011

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

September 30, 2006 - June 7, 2007

UBS SECURITIES LLC

CRD#: 7654

CHICAGO, IL

Past

January 2, 1997 - October 6, 2006

ABN AMRO INCORPORATED

CRD#: 15776

CHICAGO, IL

Past

August 18, 1992 - January 2, 1997

THE CHICAGO CORPORATION

CRD#: 1449

CHICAGO, IL

Past

June 21, 1988 - August 26, 1992

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

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".

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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 66

Date: 9/21/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/25/1991

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: 6/18/1988

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/18/1986

National Commodity Futures Examination

Current Firm

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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Contact information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone number

(817) 731-8621

Established

Firm type

Fiscal year end

# of Employees

1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (10/30/2024)

DESCRIPTION OF SERVICES (10/30/2024)

Regulatory assets under management

Total Number of Accounts	110,166
AUM (Assets Under Management)	$ 22,090,760,499

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 C. Mcdonald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

JEFFERIES LLC

NEWEDGE USA, LLC

UBS SECURITIES LLC

ABN AMRO INCORPORATED

THE CHICAGO CORPORATION

MF GLOBAL INC.

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2015

Series 63

Date: 6/25/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 3

Date: 6/18/1986

Current Firm

FIRST COMMAND ADVISORY SERVICES

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST COMMAND ADVISORY SERVICES

TRUST BUT VERIFY

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