James A. Stokes
MADISON AVENUE SECURITIES
Orlando, FL 32804
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CRD#: 1666573
Professional summary
James Arthur Stokes, CFP®, who also goes by James Arthur Stokes Jr, Jay Stokes, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Orlando, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Arthur Stokes Jr | Jay Stokes
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.) NAME OF BUSINESS: JAS PROPERTIES, LTD. DBA BAR SNAKE FARMS POSITION: OWNER (PASSIVE) NATURE: A FAMILY CATTLE AND TIMBER OPERATION. CATTLE, TIMBER, PALM TREES, INVESTMENT RELATED: NO NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 0 START DATE: 12/06/2005 ADDRESS: 1515 W. SMITH STREET ORLANDO, FL 32804 DESCRIPTION: MEET WITH CATTLE, TIMBER, PALM TREE BUYERS/OWNERS. 2.)NAME OF BUSINESS: JAS FINANCIAL GROUP, INC. DBA STOKES WEALTH POSITION: OWNER-PRESIDENT; NATURE: SALES AND SERVICE OF FIXED ANNUITY, FIAs, LIFE INSURANCE, LTC, HEALTH INSURANCE, DI, MED. SUPs; INVESTMENT RELATED: YES; HOURS/MONTH: 80 INVESTMENT RELATED HOURS: 80 START DATE: 01/23/2006 ADDRESS: 3117 EDGEWATER DRIVE, ORLANDO FL 32804; DESCRIPTION: SALES AND SERVICE OF FIXED ANNUITY, FIAs, LIFE INSURANCE, LTC, HEALTH INSURANCE, DI, MED. SUPs 3.) Name: Anne V. Stokes Irrevocable Trust Dtd 02-07-2008; Address: 824 Country Lane, Orlando FL 32804; Investment Related: No; Position: Trustee; Duties: Manage assets held by Trust and eventually distribute to beneficiaries of Trust; Hours Per Week: Less than 1 hour; Start Date: 2/7/2008
CRS (Client Relationship Summary) - RIA
Click below to view James Arthur Stokes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Arthur Stokes'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: 1993
Experience
Current
April 9, 2009 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 3117 Edgewater Dr. Suite A, Orlando, FL 32804RIA
BD
CRD#: 23224
Orlando, FL
Current
September 28, 2006 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 3117 Edgewater Dr. Suite A, Orlando, FL 32804RIA
BD
CRD#: 23224
Orlando, FL
Past
October 9, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
ORLANDO, FL
Past
January 3, 2003 - September 27, 2006
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
ORLANDO, FL
Past
May 24, 2001 - January 2, 2003
MEDALLION EQUITIES, INC.
BD
CRD#: 43399
MARIETTA, GA
Past
June 9, 1999 - June 18, 2001
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
BD
CRD#: 39263
TAMPA, FL
Past
March 18, 1988 - July 6, 1999
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
August 20, 1987 - April 5, 1988
THE PARKINS INVESTMENT SECURITIES CORPORATION
BD
CRD#: 7431
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
California(6/18/2020)
RR
Colorado(5/12/2021)
RR
Connecticut(5/31/2022)
RR
District of Columbia(1/16/2024)
RR
Florida(9/28/2006)
IAR
Florida(4/9/2009)
RR
Georgia(4/25/2018)
RR
Indiana(4/14/2011)
IAR
Indiana(11/26/2012)
RR
Maryland(3/18/2022)
RR
Massachusetts(8/23/2018)
RR
Michigan(7/16/2020)
RR
New Jersey(3/23/2021)
RR
New York(9/28/2006)
RR
North Carolina(7/25/2013)
RR
Ohio(8/31/2021)
RR
Oregon(4/4/2017)
RR
Pennsylvania(3/4/2021)
RR
South Carolina(5/29/2018)
RR
Tennessee(1/26/2022)
RR
Utah(3/18/2022)
RR
Virginia(4/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Orlando, FL 32804TRUST BUT VERIFY
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