JE
James D. Ennis
FOCUS FINANCIAL
Des Moines, IA 50312
Some features on this profile are disabled
CRD#: 1961884
JE
Professional summary
James David Ennis, ChFC®, who also goes by Jay Ennis, is a registered financial advisor currently at FOCUS FINANCIAL located in Des Moines, Iowa and OSAIC WEALTH, INC. located in Des Moines, Iowa.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Ennis
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) FOCUS FINANCIAL NETWORK, INC. POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2018 ADDRESS: 431 28th Street, Suite 102, Des Moines IA 50312, United States DESCRIPTION: Marketing and sales of Investment Advisory Services, conduct client meetings, annual reviews, financial planning services. 2) FOCUS FINANCIAL NETWORK, INC. POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/01/2018 ADDRESS: 431 28th Street, Suite 102, Des Moines IA 50312, United States DESCRIPTION: Sales and service of life insurance, health & disability products. 3) THE BARBICAN OWNERS ASSOCIATION POSITION: At Large Board Member NATURE: Non-Profit Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 4 START DATE: 05/21/2024 ADDRESS: 3920 Grand Avenue, Apt. 100, Des Moines IA 50312, United States DESCRIPTION: Discussing association business including, maintenance and improvements to building and grounds and amenities. Shaping association policies for bylaws and rules. Voting on the mentioned projects and policies.
CRS (Client Relationship Summary) - RIA
Click below to view James David Ennis'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®
Experience
Current
October 4, 2018 - Present
FOCUS FINANCIAL
Office #1: 431 28th Street Suite 102, Des Moines, IA 50312RIA
CRD#: 116140
Des Moines, IA
Current
October 1, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 431 28th Street Suite 102, Des Moines, IA 50312RIA
BD
CRD#: 23131
Des Moines, IA
Past
January 1, 2004 - October 2, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
DES MOINES, IA
Past
January 1, 2004 - October 2, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DES MOINES, IA
Past
August 29, 2002 - December 31, 2003
ENNIS PLANNING SERVICES
RIA
CRD#: 118332
DES MOINES, IA
Past
February 25, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
RIA
CRD#: 1703
DES MOINES, IA
Past
March 1, 2001 - September 6, 2002
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
DES MOINES, IA
Past
November 22, 2000 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
November 23, 1998 - November 21, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 1, 1997 - November 12, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 12, 1994 - May 13, 1997
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
April 8, 1992 - December 13, 1993
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
July 25, 1991 - December 31, 1991
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
June 19, 1990 - January 24, 1991
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
July 17, 1989 - January 9, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)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.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
California(2/4/2019)
RR
Florida(10/1/2018)
RR
Illinois(10/1/2018)
RR
Iowa(10/1/2018)
IAR
Iowa(10/4/2018)
RR
Minnesota(10/1/2018)
RR
Missouri(10/1/2018)
RR
Oklahoma(7/26/2021)
RR
Texas(10/1/2018)
IAR
Texas(12/22/2020)
RR
Wisconsin(10/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOCUS FINANCIAL
CRD#: 116140Des Moines, IA 50312TRUST BUT VERIFY
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Contact information
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