James F. Short
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 Ferebee Short, CFP®, CIMA®, who also goes by Jas Short, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
June 3, 2021 - October 12, 2022
BEACON HARBOR WEALTH ADVISORS
June 20, 2007 - June 13, 2019
CARILLON FUND DISTRIBUTORS, INC.
July 23, 2004 - August 21, 2007
RAYMOND JAMES & ASSOCIATES, INC.
March 29, 2002 - January 7, 2003
WAYPOINT ADVISORS, LLC
April 22, 1996 - December 6, 1996
INVESTORS SECURITY COMPANY, INC.
August 12, 1991 - May 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BEACON HARBOR WEALTH ADVISORS
CRD#: 300243 / SEC#: 801-114773
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
BEACON HARBOR WEALTH ADVISORS
CRD#: 300243 / SEC#: 801-114773
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,529 |
| AUM (Assets Under Management) | $ 608,304,013 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 11/01/2023 |
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.
