JW
James D. Walker
FORTRESS PRIVATE LEDGER
Raleigh, NC 27612
Some features on this profile are disabled
CRD#: 1986387
JW
Professional summary
James Derl Walker, who also goes by Jim Walker, is a registered financial professional currently at FORTRESS PRIVATE LEDGER, LLC located in Raleigh, North Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Walker
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.
CRS (Client Relationship Summary) - BD
Click below to view James Derl Walker'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®
NoneExperience
Current
August 29, 2020 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612RIA
BD
CRD#: 290298
Raleigh, NC
Past
December 19, 1989 - July 1, 2020
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
KINSTON, NC
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".
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
North Carolina(8/31/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3110 Edwards Mill Rd, Ste 200 Suite 200, Raleigh, NC 27612
Mailing Address
3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612
Phone number
(919) 322-2762
Established
North Carolina since 11/17/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
26
SEC notice filing (19 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,115 |
| AUM (Assets Under Management) | $ 346,106,253 |
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
FORTRESS PRIVATE LEDGER, LLC
CRD#: 290298Raleigh, NC 27612TRUST BUT VERIFY
Monitor James Walker
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
