James A. Warfield

Some features on this profile are disabled

CRD#: 1924965

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 Anthony Warfield, who also goes by James Anthony Warfield, Jim Warfield, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1994. James had worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

James Anthony Warfield | Jim Warfield

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 29, 2025 - July 6, 2026

BEACON CAPITAL MANAGEMENT, INC.

RIA

CRD#: 120641

CHARLOTTE, NC

Past

September 29, 2025 - July 6, 2026

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

May 4, 2023 - April 4, 2025

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Charlotte, NC

Past

March 13, 2023 - April 4, 2025

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

August 12, 2021 - March 3, 2023

PACER FINANCIAL, INC.

CRD#: 137040

MALVERN, PA

Past

March 19, 2018 - July 28, 2021

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

May 23, 2017 - December 5, 2017

ICON ADVISERS, INC.

RIA

CRD#: 108268

Matthews, NC

Past

May 10, 2017 - December 5, 2017

ICON DISTRIBUTORS, INC.

CRD#: 28568

GREENWOOD VILLAGE, CO

Past

August 3, 2016 - March 1, 2017

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

BROOKLYN, OH

Past

May 8, 2015 - August 22, 2016

RS FUNDS DISTRIBUTOR LLC

CRD#: 165753

VILLANOVA, PA

Past

September 2, 2014 - May 15, 2015

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

CHARLOTTE, NC

Past

January 3, 2012 - May 15, 2015

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

August 1, 2011 - December 8, 2011

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

October 28, 2010 - August 26, 2011

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

May 5, 2010 - October 25, 2010

PALMETTO ADVISORY GROUP, LLC

CRD#: 150270

CHARLESTON, SC

Past

January 25, 2002 - December 31, 2009

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

CHARLOTTE, NC

Past

March 29, 2000 - January 29, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 3, 1999 - February 24, 2000

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

October 19, 1994 - August 19, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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".

BEACON CAPITAL MANAGEMENT, INC.

BEACON CAPITAL MANAGEMENT, INC. | ZERO COMMISSION PORTFOLIOS

CRD#: 120641 / SEC#: 801-61249

RIA

Registered Investment Advisory firm - (6/13/2002 Approved)

Florida

Registered Investment Advisory firm - (6/6/2002 Cancelled)

Indiana

Registered Investment Advisory firm - (2/25/2003 Terminated)

New York

Registered Investment Advisory firm - (1/14/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 5/1/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/1994

General Securities Representative Examination

Current Firm

BEACON CAPITAL MANAGEMENT, INC.

BEACON CAPITAL MANAGEMENT, INC. | ZERO COMMISSION PORTFOLIOS

CRD#: 120641 / SEC#: 801-61249

RIA

Registered Investment Advisory firm - (6/13/2002 Approved)

Florida

Registered Investment Advisory firm - (6/6/2002 Cancelled)

Indiana

Registered Investment Advisory firm - (2/25/2003 Terminated)

New York

Registered Investment Advisory firm - (1/14/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2001 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7777 Washington Village Drive Suite 280, Dayton, OH 45459

Mailing Address

Phone number

(937) 439-9093

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BEACON CAPITAL - WRAP FEE BROCHURE (1/13/2026)

BEACON CAPITAL - FORM ADV PART 2A (8/30/2025)

Regulatory assets under management

Total Number of Accounts	13,893
AUM (Assets Under Management)	$ 4,669,480,758

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Warfield

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAMMONS FINANCIAL NETWORK, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

PACER FINANCIAL, INC.

COREBRIDGE CAPITAL SERVICES, INC.

ICON ADVISERS, INC.

ICON DISTRIBUTORS, INC.

VICTORY CAPITAL SERVICES, INC.

RS FUNDS DISTRIBUTOR LLC

VIRTUS INVESTMENT ADVISERS, LLC

VP DISTRIBUTORS LLC

G.DISTRIBUTORS, LLC

G.RESEARCH, LLC

PALMETTO ADVISORY GROUP, LLC

UBS ASSET MANAGEMENT (US) INC.

UBS FINANCIAL SERVICES INC.

BOFA DISTRIBUTORS, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

BEACON CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2023

Series 63

Date: 12/4/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1994

Current Firm

BEACON CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEACON CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors