James Patrick Dowd
Professional Summary
James Patrick Dowd, who also goes by James P Dowd, James Patrick Dowd, James Dowd, Jim P Dowd, Jim Patrick Dowd, Jim Dowd, is a registered financial advisor currently at NORTH CAPITAL located in Salt Lake City, Utah and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James P Dowd, James Patrick Dowd, James Dowd, Jim P Dowd, Jim Patrick Dowd, Jim Dowd
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS
Contact Information
Main Address
623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047Phone Number
888-625-7768 X1# of Employees
12SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
550AUM (Assets Under Management)
$365,760,255Similar Advisors
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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.
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Primary Firm SEC Registration
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS
State Registrations and Notice Filings
(2/5/2014)
(6/23/2015)
(2/3/2014)
(1/16/2014)
(1/27/2011)
(1/27/2021)
(1/31/2014)
(8/21/2013)
(3/24/2014)
(1/31/2014)
(7/8/2013)
(10/7/2013)
(2/13/2014)
(5/15/2015)
(8/26/2013)
(5/15/2015)
(1/14/2014)
(5/19/2015)
(5/15/2015)
(1/21/2014)
(2/10/2014)
(1/9/2014)
(8/28/2013)
(1/30/2014)
(2/3/2014)
(1/29/2014)
(5/28/2014)
(1/27/2014)
(2/11/2014)
(1/29/2014)
(3/6/2014)
(8/27/2013)
(2/14/2014)
(7/8/2013)
(12/18/2021)
(3/20/2014)
(2/24/2014)
(2/5/2014)
(1/15/2014)
(2/6/2014)
(7/8/2013)
(2/14/2014)
(1/14/2014)
(2/6/2014)
(1/14/2014)
(2/28/2014)
(8/28/2013)
(1/27/2021)
(7/1/2013)
(1/27/2021)
(10/9/2013)
(1/28/2014)
(4/17/2014)
(5/15/2015)
(3/6/2014)
(10/3/2013)
(1/31/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Dowd's CRS (Customer Relationship Summary).
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