James L. Fisher

TRINITY FINANCIAL PARTNERS

ONTARIO, CA 91764

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CRD#: 208628

Professional summary

James Lee Fisher is a registered financial advisor currently at TRINITY FINANCIAL PARTNERS located in Ontario, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. James has worked at 6 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view James Lee Fisher'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

July 8, 1997 - Present

TRINITY FINANCIAL PARTNERS

Office #1: 901 Via Piemonte, Ste 260, Ontario, CA 91764

RIA

CRD#: 136969

ONTARIO, CA

Past

June 12, 2002 - July 15, 2005

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

ONTARIO, CA

Past

May 19, 2000 - July 15, 2005

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

April 10, 2000 - April 17, 2000

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

January 3, 1984 - October 26, 1984

OSAIC FA, INC.

CRD#: 3978

Past

January 3, 1984 - July 9, 1986

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

January 3, 1984 - July 11, 1986

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

June 2, 1971 - May 26, 2000

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

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
(7/8/1997)

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

General Industry/Product Exam

Series 1

Date: 5/27/1971

Registered Representative Examination

Current Firm

TRINITY FINANCIAL PARTNERS

CLOVER FINANCIAL & INSRUANCE SERVICES, INC. | TRINITY FINANCIAL PARTNERS | TRINITY CAPITAL MANAGEMENT, LLC | CLOVER FINANCIAL & INSURANCE SERVICES, INC. | CLOVER FINANCIAL & INSURANCE SERVICES

CRD#: 136969 / SEC#: 801-68517

RIA

Registered Investment Advisory firm - (5/4/2016 Terminated)

California

Registered Investment Advisory firm - (5/4/2016 Approved)

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).

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Contact information

Main Address

1125 E 16th Street Unit B-2, Upland, CA 91784

Mailing Address

Phone number

(909) 481-4000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

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James L. Fisher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lee Fisher's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRINITY FINANCIAL PARTNERS

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 1

Date: 5/27/1971

Current Firm

TRINITY FINANCIAL PARTNERS

Contact information

Documents

Red Flags

Company Information

TRINITY FINANCIAL PARTNERS

TRUST BUT VERIFY

Contact information

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