James S. Gross

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CRD#: 1589748

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 Stephen Gross, who also goes by James S Gross, Jim Gross, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James S Gross | Jim Gross

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

September 27, 2018 - September 14, 2021

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

Marion, IA

Past

September 26, 2018 - September 14, 2021

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

Marion, IA

Past

May 10, 2011 - September 27, 2018

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

MARION, IA

Past

May 10, 2011 - September 27, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

MARION, IA

Past

January 3, 2011 - May 17, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CEDAR RAPIDS, IA

Past

January 3, 2011 - May 17, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CEDAR RAPIDS, IA

Past

May 6, 2002 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

CEDAR RAPIDS, IA

Past

April 30, 2002 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

CEDAR RAPIDS, IA

Past

July 14, 1989 - April 30, 2002

SECURITIES CORPORATION OF IOWA

CRD#: 6945

CEDAR RAPIDS, IA

Past

September 2, 1988 - September 26, 1988

SECURITIES CORPORATION OF IOWA

CRD#: 6945

Past

November 21, 1986 - September 22, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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: 4/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/19/1986

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: 11/15/1986

General Securities Representative Examination

Current Firm

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Mailing Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Phone number

(319) 393-9541

Established

Iowa since 11/14/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 33025 (3/26/2025)

WRAP BROCHURE 33025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
NFGI HOLDING CORPORATION	HOLDING CORPORATION
BENNETT, RICHARD SCOTT	CEO - CFO	858716
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	4404352
CAIRNEY, STEPHEN MICHAEL	PRESIDENT	3085019
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	4475482
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	4238486

Regulatory assets under management

Total Number of Accounts	9,822
AUM (Assets Under Management)	$ 3,867,522,560

Disclosures

Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
09/26/2024	Cover Page	Report
11/22/2023	Cover Page	Report
12/28/2022	Cover Page	Report

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 S. Gross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONS FINANCIAL GROUP, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

SECURITIES CORPORATION OF IOWA

SECURITIES CORPORATION OF IOWA

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2002

Series 63

Date: 11/19/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/15/1986

Current Firm

NATIONS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NATIONS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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