John R. James
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - April 28, 2021
QUANTUM FINANCIAL PLANNING SERVICES, INC.
August 9, 2010 - June 30, 2017
SECURITIES SERVICE NETWORK, LLC
July 16, 2001 - August 16, 2010
OSAIC FA, INC.
July 10, 2001 - June 7, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 10, 2001 - August 16, 2010
OSAIC FA, INC.
May 1, 1992 - July 9, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 11, 1990 - May 1, 1992
CENTURY INVESTORS OF AMERICA, INC.
April 3, 1989 - December 20, 1990
DERAND/PENNINGTON/BASS, INC.
November 5, 1987 - April 17, 1989
CENTURY INVESTORS OF AMERICA, INC.
September 8, 1987 - December 10, 1987
MUTUAL SERVICE CORPORATION
April 29, 1987 - September 8, 1987
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
QUANTUM FINANCIAL PLANNING SERVICES, INC.
CRD#: 115877 / SEC#: 801-110112
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUANTUM FINANCIAL PLANNING SERVICES, INC.
CRD#: 115877 / SEC#: 801-110112
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,025 |
| AUM (Assets Under Management) | $ 727,199,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 06/17/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 | ||
| 04/27/2023 |
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.
