James K. Wilson
Professional summary
James Karl Wilson, CFP®, who also goes by James K Wilson, is a registered financial advisor currently at NORTHERN CAPITAL MANAGEMENT, INC. located in Spokane, Washington and NORTHERN CAPITAL RETIREMENT SERVICES, INC. located in Spokane, Washington.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Karl Wilson's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1990
Experience
July 13, 2011 - Present
NORTHERN CAPITAL MANAGEMENT, INC.
Office #1: 2700 South Southeast Boulevard Suite 205, Spokane, WA 99223-4984April 10, 2013 - Present
NORTHERN CAPITAL RETIREMENT SERVICES, INC.
Office #1: 2700 S Southeast Boulevard Suite 205, Spokane, WA 99223November 25, 2003 - July 13, 2011
NORTHERN CAPITAL MANAGEMENT, INC.
July 1, 1994 - December 31, 2002
NORTHERN CAPITAL MANAGEMENT, INC.
March 24, 1994 - February 8, 2016
NCM SECURITIES, INC.
April 2, 1992 - April 5, 1994
PACIFIC HARBOR SECURITIES, INC.
November 21, 1988 - May 5, 1992
DERAND/PENNINGTON/BASS, INC.
March 22, 1988 - November 29, 1988
U.S. ADVISORS, INC.
December 24, 1987 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
November 25, 1987 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
Primary Firm SEC Registration
NORTHERN CAPITAL MANAGEMENT, INC.
CRD#: 111379 / SEC#: 801-44942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/1/2014)
(7/13/2011)
Exams
Current Firm
NORTHERN CAPITAL MANAGEMENT, INC.
CRD#: 111379 / SEC#: 801-44942
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,819 |
| AUM (Assets Under Management) | $ 462,159,064 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2024 | ||
| 12/28/2023 | ||
| 01/31/2023 |
Red Flags
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