James B. Brisley
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 Benjamin Brisley, who also goes by Jaime Brisley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2022 - May 1, 2023
PRINCIPAL ADVISED SERVICES
March 29, 2017 - October 30, 2022
PRINCIPAL SECURITIES, INC.
March 17, 2017 - May 1, 2023
PRINCIPAL SECURITIES, INC.
January 28, 2016 - March 28, 2016
TRANSAMERICA RETIREMENT ADVISORS, LLC
July 10, 2012 - March 28, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
January 11, 1996 - August 11, 1998
NATIONAL PLANNING CORPORATION
January 28, 1993 - August 11, 1998
NATIONAL PLANNING CORPORATION
July 16, 1991 - November 7, 1991
IDS LIFE INSURANCE COMPANY
July 16, 1991 - November 7, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 1990 - July 18, 1991
WOODBURY FINANCIAL SERVICES, INC.
August 15, 1988 - March 27, 1989
WADDELL & REED
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
