James O. Davis

THE FINANCIAL ADVISORY GROUP

San Francisco, CA

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CRD#: 1530880

Professional summary

James Orth Davis, CFP® is a registered financial advisor currently at THE FINANCIAL ADVISORY GROUP located in San Francisco, California and CENTAURUS FINANCIAL, INC. located in San Francisco, 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 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Orth Davis'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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

November 8, 2016 - Present

THE FINANCIAL ADVISORY GROUP

RIA

CRD#: 113329

San Francisco, CA

Current

June 1, 2006 - Present

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SAN FRANCISCO, CA

Past

June 19, 2015 - December 31, 2015

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ANAHEIM, CA

Past

June 1, 2006 - December 31, 2007

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ANAHEIM, CA

Past

June 21, 1990 - June 5, 2006

SECURITIES AMERICA, INC.

CRD#: 10205

SAN FRANCISCO, CA

Past

November 19, 1989 - June 22, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 24, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 14, 1986 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

July 23, 1986 - October 7, 1986

CYPRESS CAPITAL CORPORATION

CRD#: 7919

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

California
(6/1/2006)

IAR

California
(11/8/2016)

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

Series 63

Date: 3/23/1987

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: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE FINANCIAL ADVISORY GROUP

JAMES O. DAVIS | THE TAX ADVISORY GROUP | THE INVESTMENT MANAGEMENT CONSULTING GROUP | THE FINANCIAL ADVISORY GROUP

CRD#: 113329 / SEC#:

California

Registered Investment Advisory firm - (4/24/1990 Approved)

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(415) 752-6222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 O. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Orth Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE FINANCIAL ADVISORY GROUP

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

SECURITIES AMERICA, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

CYPRESS CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 3/23/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Series 24

Date: 4/16/1987

FINRA

Current Firm

THE FINANCIAL ADVISORY GROUP

Contact information

Documents

Red Flags

Company Information

THE FINANCIAL ADVISORY GROUP

TRUST BUT VERIFY

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