James D. Groce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Donald Groce JR, CFP®, who also goes by James Donald Groce Jr, Jim Groce, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
June 30, 2014 - July 31, 2023
SCF INVESTMENT ADVISORS, INC.
June 30, 2014 - July 31, 2023
SCF SECURITIES, INC.
March 1, 2013 - July 2, 2014
TFR ADVISORS LLP
January 25, 2013 - June 13, 2014
WFG INVESTMENTS, INC.
February 24, 2009 - February 1, 2013
MML INVESTORS SERVICES, LLC
January 29, 2009 - February 1, 2013
MML INVESTORS SERVICES, LLC
January 2, 2008 - November 4, 2008
AW SECURITIES
June 19, 2006 - November 6, 2008
ALLWORTH FINANCIAL, L.P.
June 15, 2006 - December 31, 2007
SECURITIES AMERICA, INC.
March 28, 2000 - November 18, 2005
IDS LIFE INSURANCE COMPANY
March 28, 2000 - November 18, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 21, 1991 - December 31, 1996
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
