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DJ

David M. James

PNFP CAPITAL MARKETS
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 1843062
DJ

Professional summary

David Morris James is a registered financial professional currently at PNFP CAPITAL MARKETS, INC. located in Nashville, Tennessee.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.

top-8-questions

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.
1) PINNACLE WEALTH ADVISORS; INVESTMENT RELATED; 150 3RD AVENUE SOUTH, SUITE 900, NASHVILLE, TN 37201; INVESTMENT ADVISORY; CCO; 03/2015; 80 HRS PER MONTH; 80 HRS DURING TRADING; CCO. 2) PINNACLE BANK; INVESTMENT RELATED; SAME AS ABOVE; BANK; CCO AND SENIOR VICE PRESIDENT; 03/2015; BANK (60%) PNFP CAPITAL MARKETS (40%); COORDINATE WITH BANK REPRESENTATIVES ON BD/IA ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Morris James'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®
None

Experience

Current

October 6, 2015 - Present

PNFP CAPITAL MARKETS, INC.

Office #1: 21 Platform Way South Suite 2300, Nashville, TN 37203Office #2: 21 Platform Way South Suite 2300, Nashville, TN 37203
BD
CRD#: 179528
Nashville, TN
Past

March 16, 2015 - September 15, 2025

PINNACLE WEALTH ADVISORS

RIA
CRD#: 132634
NASHVILLE, TN
Past

June 2, 2011 - February 25, 2015

TRUSTCORE FINANCIAL SERVICES, LLC

RIA
CRD#: 106522
BRENTWOOD, TN
Past

May 23, 2011 - February 25, 2015

TRUSTCORE INVESTMENTS LLC

BD
CRD#: 15423
BRENTWOOD, TN
Past

August 22, 2008 - May 23, 2011

&PARTNERS

RIA
CRD#: 3767
NASHVILLE, TN
Past

May 30, 2008 - May 23, 2011

&PARTNERS

BD
CRD#: 3767
NASHVILLE, TN
Past

October 18, 1994 - June 4, 1997

CAMBRIDGE WAY, INC.

BD
CRD#: 16328
BRENTWOOD, TN
Past

September 15, 1993 - July 22, 1994

&PARTNERS

BD
CRD#: 3767
NASHVILLE, TN
Past

June 22, 1988 - September 13, 1988

H.J. MEYERS & CO., INC.

BD
CRD#: 15609

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
Kentucky
(6/13/2023)
RR
Maryland
(5/6/2025)
RR
Tennessee
(10/13/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/21/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/22/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/29/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/28/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/10/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PNFP CAPITAL MARKETS, INC.
PNFP CAPITAL MARKETS, INC.

CRD#: 179528 / SEC#: , 8-69608

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
21 Platform Way South Suite 2300, Nashville, TN 37203
Mailing Address
21 Platform Way South Suite 2300, Nashville, TN 37203
Phone number
(615) 743-8271
Established
Tennessee since 02/09/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PINNACLE BANKOWNER
BRANT, DAVID ROBERTFINOP/CFO2718478
JAMES, DAVID MORRISCCO/AMLCO/EXECUTIVE REPRESENTATIVE1843062
MCINTYRE, LARUE GEEDEPUTY CCO717700
WUNDERLICH, GARY KENT JRPRESIDENT/CEO2256877

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

PNFP CAPITAL MARKETS, INC.

CRD#: 179528Nashville, TN 37203

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