James A. Jimenez

JAMES A. JIMENEZ

San Jose, CA 95128-3158

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CRD#: 1900330

Professional summary

James Anthony Jimenez, who also goes by Jim Jimenez, is a registered financial advisor currently at JAMES A. JIMENEZ located in San Jose, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Jimenez

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)JAMES ANTHONY JIMENEZ : REGISTERED INVESTMENT ADVISOR: CRD#136200 / 09/22/1997 OWNER:SOLE PROPRIETOR / CRD# 136200 / SAN JOSE, CALIFORNIA INVESTMENT RELATED; 200 HOURS PER MONTH; 90% OF HOURS ARE DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Jimenez'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

January 12, 2018 - Present

JAMES A. JIMENEZ

Office #1: 2845 Moorpark Avenue Suite 200, San Jose, CA 95128-3158

RIA

CRD#: 136200

San Jose, CA

Past

November 21, 2016 - December 18, 2017

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

SAN JOSE, CA

Past

January 5, 1999 - November 29, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

SAN JOSE, CA

Past

August 3, 1995 - January 12, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 30, 1995 - August 23, 1995

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

July 8, 1993 - February 14, 1995

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

June 19, 1992 - July 9, 1993

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

CRD#: 16116

Past

May 17, 1990 - June 25, 1991

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

May 23, 1989 - February 8, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(1/12/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/8/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/26/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/1999

General Securities Principal Examination

Current Firm

JAMES A. JIMENEZ

FORCE 5 INVESTMENT MANAGEMENT | JIMENEZ, JAMES ANTHONY | JAMES A. JIMENEZ

CRD#: 136200 / SEC#:

California

Registered Investment Advisory firm - (9/22/1997 Approved)

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Contact information

Main Address

2845 Moorpark Avenue Suite 200, San Jose, CA 95128-3158

Mailing Address

Phone number

(408) 244-7574

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 4,472,302

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.

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Advisor Monitoring

Firm Stability Insights

James A. Jimenez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Jimenez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

FOOTHILL SECURITIES, INC.

OSAIC WEALTH, INC.

SENTRA SECURITIES CORPORATION

CETERA ADVISORS LLC

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/1989

SIE

Date: 12/18/2017

Series 3

Date: 6/26/1989

Series 7

Date: 5/20/1989

Series 24

Date: 8/12/1999

Current Firm

JAMES A. JIMENEZ

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES A. JIMENEZ

TRUST BUT VERIFY

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