James R. Earl

JIM EARL FINANCIAL

Warren, OH 44483

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CRD#: 1965373

Professional summary

James Robert Earl, who also goes by Jim Earl, is a registered financial advisor currently at JIM EARL FINANCIAL located in Warren, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 11 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Earl

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)Insurance Navigators Agency 458 HIGH ST, WARREN, OHIO 44481;AGENT;HEALTH AND LIFE INSURANCE PRODUCTS; START 01/09; 5HRS/WK;DURING TRADING HRS;COMMISSION. 2)JAMES EARL FINANCIAL SERVICES INC.DBA Jim Earl Financial 550 PECK LEACH RD, NORTH BLOOMFIELD,OH 44450;AGENT; START 4/1991;LIFE AND HEALTH INSURANCE PRODUCT SALES TO PAYROLL GROUPS AND INDIVIDUALS;25HRS/WK.;DURING TRADING HOURS; COMMISSION 3)COLLEGE FUNDING SOLUTIONS;550 PECK LEACH ROAD. NORTH BLOOMFIELD, OH 44450;START 10/06;COLLEGE PLANNING ASSISTANCE FOR PARENTS/STUDENTS; 5HRS/WK;DURING TRADING; FEES/COMMISSION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Earl'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

February 6, 2009 - Present

JIM EARL FINANCIAL

Office #1: 1700 East Market St, Suite 110, Warren, OH 44483

RIA

CRD#: 149444

Warren, OH

Past

April 7, 2008 - December 31, 2008

GWN SECURITIES INC.

RIA

CRD#: 128929

EUCLID, OH

Past

April 4, 2008 - December 31, 2008

GWN SECURITIES INC.

CRD#: 128929

EUCLID, OH

Past

January 24, 2007 - March 14, 2008

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

NORTH BLOOMFIELD, OH

Past

January 8, 2007 - March 14, 2008

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

NORTH BLOOMFIELD, OH

Past

November 7, 2003 - December 4, 2006

STUART SECURITIES CORP.

CRD#: 47076

NORCROSS, GA

Past

January 2, 2003 - November 13, 2003

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

CINCINNATI, OH

Past

March 15, 2001 - November 13, 2003

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

November 22, 2000 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

March 20, 1998 - December 1, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

January 22, 1997 - December 31, 1997

OMNI FINANCIAL SECURITIES, INC.

CRD#: 29320

COLUMBUS, OH

Past

June 1, 1996 - January 20, 1997

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 15, 1995 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

May 8, 1991 - December 31, 1994

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

September 13, 1989 - April 16, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Ohio
(2/6/2009)

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: 7/8/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/12/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JIM EARL FINANCIAL

JAMES R. EARL FINANCIAL SERVICES, INC. | JIM EARL FINANCIAL

CRD#: 149444 / SEC#:

Ohio

Registered Investment Advisory firm - (2/3/2009 Approved)

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Contact information

Main Address

1700 East Market St, Suite 110, Warren, OH 44483

Mailing Address

Phone number

(330) 240-0846

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 820,593

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James R. Earl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Earl's CRS (Customer Relationship Summary).

Certified licenses

Experience

GWN SECURITIES INC.

GWN SECURITIES INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

STUART SECURITIES CORP.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

WMA SECURITIES, INC.

OMNI FINANCIAL SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NORTH AMERICAN MANAGEMENT, INC.

NORTH AMERICAN MANAGEMENT, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2008

Series 63

Date: 9/12/1989

Series 6

Date: 9/12/1989

Current Firm

JIM EARL FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JIM EARL FINANCIAL

TRUST BUT VERIFY

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