SJ
Scott S. James
THE SCOTT S. JAMES COMPANY
Falls Church, VA 22042
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CRD#: 1588816
SJ
Professional summary
Scott Snyder James, CFP®, who also goes by Scott James, is a registered financial advisor currently at THE SCOTT S. JAMES COMPANY located in Falls Church, Virginia and SCOTT JAMES GROUP, INC. located in Falls Church, Virginia.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott James
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 SCOTT S. JAMES COMPANY, PRESIDENT. REGISTERED INVESTMENT ADVISER. 6700 ARL. BLVD,FALLS CHURCH, VA 22042. BEGAN RIA ACTIVITIES 4/96 & IS ONGOING CONCERN. I WORK 320 HOURS PER MONTH IN THIS CAPACITY & ALL TRADING HOURS. MY DUTIES ARE SELECTING SECURITIES FOR CLIENTS, ADVISING RIA REPRESENTATIVES ON STOCKS THAT CLIENTS HAVE QUESTIONS ABOUT, AND CONDUCTING SECURITY RESEARCH. SCOTT JAMES, LLC, PRESIDENT. 6700 ARL.BLVD, FALLS CHURCH, VA 22042, OWNS ONE OFFICE BUILDING. APPROXIMATELY ONE NON-TRADING HOUR PER MONTH ON AVERAGE IS SPENT FILLING OUT FORMS OR ARRANGING PROPERTY MAINTENANCE. FORMED 12/98 & IS ONGOING CONCERN.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Snyder James'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®
Start date: 1990
Experience
Current
April 16, 1996 - Present
THE SCOTT S. JAMES COMPANY
Office #1: 6700 Arlington Blvd, Falls Church, VA 22042RIA
CRD#: 105861
Falls Church, VA
Current
June 25, 2001 - Present
SCOTT JAMES GROUP, INC.
Office #1: 6700 Arlington Boulevard, Falls Church, VA 22042Office #2: 6700 Arlington Boulevard, Falls Church, VA 22042BD
CRD#: 104374
Falls Church, VA
Past
March 19, 1996 - November 2, 2001
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
December 26, 1986 - March 20, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
TS
THE SCOTT S. JAMES COMPANY
JAMES SCOTT S CO | THE SCOTT S. JAMES COMPANY | SCOTT JAMES GROUP
CRD#: 105861 / SEC#: 801-123515
RIA
Registered Investment Advisory firm - (3/25/2022 Approved)Virginia
Registered Investment Advisory firm - (3/28/2022 Terminated)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.RR
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
RR
Alabama(3/5/2008)
RR
Arizona(11/2/2001)
RR
California(7/6/2001)
RR
Colorado(2/16/2017)
RR
Connecticut(11/5/2001)
RR
Delaware(8/17/2001)
RR
District of Columbia(8/1/2001)
RR
Florida(7/16/2001)
RR
Georgia(7/3/2001)
RR
Illinois(11/5/2001)
RR
Indiana(6/5/2024)
RR
Kansas(10/23/2015)
RR
Maryland(7/2/2001)
RR
Minnesota(11/6/2001)
RR
Nevada(10/12/2011)
RR
New Jersey(11/8/2001)
RR
New Mexico(11/5/2001)
RR
New York(8/3/2001)
RR
North Carolina(11/5/2001)
RR
Pennsylvania(11/2/2001)
RR
South Carolina(11/2/2001)
RR
Tennessee(11/5/2001)
RR
Texas(4/15/2015)
IAR
Texas(4/4/2024)
IAR
Virginia(4/16/1996)
RR
Virginia(11/5/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE SCOTT S. JAMES COMPANY
JAMES SCOTT S CO | THE SCOTT S. JAMES COMPANY | SCOTT JAMES GROUP
CRD#: 105861 / SEC#: 801-123515
RIA
Registered Investment Advisory firm - (3/25/2022 Approved)Virginia
Registered Investment Advisory firm - (3/28/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6700 Arlington Blvd, Falls Church, VA 22042
Mailing Address
Phone number
(703) 533-2500
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 287 |
| AUM (Assets Under Management) | $ 125,246,782 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 01/12/2024 | ||
| 04/04/2023 |
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.
