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JE

James E. Ewing

Some features on this profile are disabled
CRD#: 1628527
JE

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 Edward Ewing, who also goes by Jim Ewing, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2009. James had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Ewing

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.
1. 6/29/2016 - Northbridge Financial Group LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/23/2016 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100%. 2. 1/23/2020 - Northbridge Financial Group LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/03/2019 - 1 Hour Per Month During Securities Trading. 3. 10/20/2020 - Northbridge Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/02/2020 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Northbridge Financial Group, LLC, an independent investment advisor firm. I started this business activity in 10/2020. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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

October 1, 2020 - September 6, 2024

NORTHBRIDGE FINANCIAL GROUP, LLC

RIA
CRD#: 310394
TAMPA, FL
Past

June 30, 2016 - October 28, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
TAMPA, FL
Past

June 29, 2016 - September 27, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
TAMPA, FL
Past

February 19, 2013 - July 27, 2016

MORGAN STANLEY

RIA
CRD#: 149777
TAMPA, FL
Past

February 19, 2013 - July 27, 2016

MORGAN STANLEY

BD
CRD#: 149777
TAMPA, FL
Past

July 5, 2012 - December 20, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
ST. CHARLES, IL
Past

July 5, 2012 - December 20, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
ST. CHARLES, IL
Past

March 3, 2009 - July 10, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ELGIN, IL
Past

February 16, 2009 - July 10, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ELGIN, IL

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".
NF
NORTHBRIDGE FINANCIAL GROUP, LLC
NORTHBRIDGE FINANCIAL GROUP, LLC

CRD#: 310394 / SEC#: 801-119466

RIA
Registered Investment Advisory firm - (9/14/2020 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/2/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/2009
General Securities Representative Examination

Current Firm

NF
NORTHBRIDGE FINANCIAL GROUP, LLC
NORTHBRIDGE FINANCIAL GROUP, LLC

CRD#: 310394 / SEC#: 801-119466

RIA
Registered Investment Advisory firm - (9/14/2020 Approved)
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Contact information

Main Address
4300 West Cypress Street Meridian Two Building, Suite 370, Tampa, FL 33607
Mailing Address
Phone number
(813) 877-8000
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NORTHBRIDGE DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/13/2025)

Regulatory assets under management

Total Number of Accounts1,200
AUM (Assets Under Management)$ 305,604,820

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.

Company Information

NORTHBRIDGE FINANCIAL GROUP, LLC

CRD#: 310394

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Contact information

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xxxxx@xxxx.xxx

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