JP
James L. Purdy
CONTINENTAL INVESTORS SERVICES
Longview, WA 98632-7552
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CRD#: 1836677
JP
Professional summary
James Lowell Purdy is a registered financial professional currently at CONTINENTAL INVESTORS SERVICES, INC. located in Longview, Washington.
James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view James Lowell Purdy'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®
NoneExperience
Current
September 29, 2017 - Present
CONTINENTAL INVESTORS SERVICES, INC.
Office #1: 1330 Broadway Street P.o. Box 1717, Longview, WA 98632-7552RIA
BD
CRD#: 29775
Longview, WA
Past
August 18, 2014 - August 4, 2017
FREEDOM INVESTORS CORP.
BD
CRD#: 23714
Longwood, FL
Past
November 3, 2010 - December 31, 2014
MERRIMAC CORPORATE SECURITIES, INC.
BD
CRD#: 35463
ALTAMONTE SPRINGS, FL
Past
October 18, 2010 - November 12, 2010
BROOKVILLE CAPITAL PARTNERS
BD
CRD#: 102380
MELVILLE, NY
Past
July 6, 2005 - November 15, 2019
PURDY INVESTMENTS, L.L.P.
RIA
CRD#: 135479
GREAT FALLS, MT
Past
June 3, 2005 - October 21, 2010
WALLSTREET*E FINANCIAL SERVICES, INC.
BD
CRD#: 43896
GREAT FALLS, MT
Past
May 31, 2000 - November 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREAT FALLS, MT
Past
May 19, 2000 - November 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 22, 1988 - May 22, 2000
D.A. DAVIDSON & CO.
BD
CRD#: 199
GREAT FALLS, MT
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".
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Arizona(5/24/2023)
RR
California(9/29/2017)
RR
Montana(10/6/2017)
RR
Oregon(9/29/2017)
RR
Washington(10/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1330 Broadway Street, Longview, WA 98632
Mailing Address
P.o. Box 888, Longview, WA 98632-7552
Phone number
(360) 423-5110
Established
Washington since 12/16/1991
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
14
SEC notice filing (18 States and Territories)
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 605 |
| AUM (Assets Under Management) | $ 196,792,432 |
Disclosures
| Regulatory Event | 3 |
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
CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775Longview, WA 98632-7552TRUST BUT VERIFY
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