John R. James

Some features on this profile are disabled

CRD#: 1656833

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.

John Robert James was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

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 5, 2010 - April 28, 2021

QUANTUM FINANCIAL PLANNING SERVICES, INC.

RIA

CRD#: 115877

KIRKLAND, WA

Past

August 9, 2010 - June 30, 2017

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KIRKLAND, WA

Past

July 16, 2001 - August 16, 2010

OSAIC FA, INC.

RIA

CRD#: 3978

KIRKLAND, WA

Past

July 10, 2001 - June 7, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 10, 2001 - August 16, 2010

OSAIC FA, INC.

CRD#: 3978

KIRKLAND, WA

Past

May 1, 1992 - July 9, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

December 11, 1990 - May 1, 1992

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

Past

April 3, 1989 - December 20, 1990

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

November 5, 1987 - April 17, 1989

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

Past

September 8, 1987 - December 10, 1987

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 29, 1987 - September 8, 1987

G. R. PHELPS & CO., INC.

CRD#: 173

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".

QUANTUM FINANCIAL PLANNING SERVICES, INC.

CRD#: 115877 / SEC#: 801-110112

RIA

Registered Investment Advisory firm - (3/15/2017 Approved)

Idaho

Registered Investment Advisory firm - (3/30/2017 Terminated)

Montana

Registered Investment Advisory firm - (3/30/2017 Terminated)

Oregon

Registered Investment Advisory firm - (3/30/2017 Terminated)

Washington

Registered Investment Advisory firm - (4/7/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 4/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/1997

General Securities Principal Examination

Current Firm

QUANTUM FINANCIAL PLANNING SERVICES, INC.

CRD#: 115877 / SEC#: 801-110112

RIA

Registered Investment Advisory firm - (3/15/2017 Approved)

Idaho

Registered Investment Advisory firm - (3/30/2017 Terminated)

Montana

Registered Investment Advisory firm - (3/30/2017 Terminated)

Oregon

Registered Investment Advisory firm - (3/30/2017 Terminated)

Washington

Registered Investment Advisory firm - (4/7/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

720 W Boone Ave Ste 100, Spokane, WA 99201

Mailing Address

Phone number

(509) 328-6653

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUANTUM ADV PART 2A SEPTEMBER 2025 (9/3/2025)

Regulatory assets under management

Total Number of Accounts	2,475
AUM (Assets Under Management)	$ 591,577,039

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
06/17/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
04/27/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John R. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES SERVICE NETWORK, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CENTURY INVESTORS OF AMERICA, INC.

DERAND/PENNINGTON/BASS, INC.

CENTURY INVESTORS OF AMERICA, INC.

MUTUAL SERVICE CORPORATION

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

QUANTUM FINANCIAL PLANNING SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/1987

SIE

Date: 6/30/2017

Series 7

Date: 4/25/1987

Series 24

Date: 12/3/1997

Current Firm

QUANTUM FINANCIAL PLANNING SERVICES, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

QUANTUM FINANCIAL PLANNING SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors