James A. Mcbride

THE MCBRIDE GROUP

Petaluma, CA 94954

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CRD#: 2108632

Professional summary

James Allen Mcbride, CFP® is a registered financial advisor currently at THE MCBRIDE GROUP located in Petaluma, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. James has worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 8 exams.

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 Allen Mcbride'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®

CFP^®

Certified Financial Planner

Experience

Current

August 11, 2009 - Present

THE MCBRIDE GROUP

Office #1: 755 Baywood Drive Second Floor, Petaluma, CA 94954

RIA

CRD#: 150179

Petaluma, CA

Past

February 11, 2015 - December 31, 2017

COMMUNITY FIRST CREDIT UNION

RIA

CRD#: 173804

SANTA ROSA, CA

Past

July 8, 1997 - May 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

March 15, 1991 - May 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

Past

February 8, 1991 - March 13, 1991

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

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
(8/11/2009)

IAR

Texas
(12/16/2015)

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: 8/10/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/12/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/6/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/13/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

THE MCBRIDE GROUP

THE MCBRIDE GROUP | THE MCBRIDE GROUP, LLC

CRD#: 150179 / SEC#: 801-70147

RIA

Registered Investment Advisory firm - (9/23/2009 Terminated)

California

Registered Investment Advisory firm - (9/23/2009 Approved)

Texas

Registered Investment Advisory firm - (12/11/2015 Conditional Restricted)

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

755 Baywood Drive Second Floor, Petaluma, CA 94954

Mailing Address

Phone number

(707) 658-4433

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	250
AUM (Assets Under Management)	$ 67,235,414

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.

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Firm Stability Insights

James A. Mcbride

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Mcbride's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMUNITY FIRST CREDIT UNION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITICORP INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/1995

Series 63

Date: 3/22/1991

Series 31

Date: 8/12/2003

Series 7

Date: 2/6/1991

Series 8

Date: 7/13/1999

Current Firm

THE MCBRIDE GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE MCBRIDE GROUP

TRUST BUT VERIFY

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