JH
James W. Hays
DUNCAN WILLIAMS ASSET MANAGEMENT
Memphis, TN 38119
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CRD#: 2270638
JH
Professional summary
James Walker Hays IV is a registered financial advisor currently at DUNCAN WILLIAMS ASSET MANAGEMENT, LLC located in Memphis, Tennessee and M. S. HOWELLS & CO. located in Memphis, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1.) Duncan Williams Asset Management DBA Hays Financial Group; Investment-Related; 5350 Poplar Ave #600 Memphis, TN 38119; Corporation; Vice President, Financial Advisor; Start date: 6/24/2024; Approximately 100 hours per month, 100 hours per month during trading hours; Manage Client Assets 2.) The James Group LLC; Non-Investment Related; 6750 Poplar Ave #208 Memphis, TN 38138; LLC; Member of Board of Directors; Start date: 6/15/2009; Approximately 1 hour per month, 1 hour per month during trading hours; Advise Management Team as Independent Director 3.) Hays Financial Group; Investment-Related; 5350 Poplar Ave #600 Memphis, TN 38119; DBA for Team; Team Member; Start date: 7/1/2014; Approximately 160 hours per month, 160 hours per month during trading hours 4. Big Six Woods; Non-Investment Related; 4270 Poplar Ave Memphis, TN 38117; Hunting land in northern Tunica County MS; Partner; Start date: 7/1/2014; Approximately 4 hours per month, 3 hours per month during trading hours; Hunting 5.) Memphis Gridiron Ministries; Non-Investment Related; 280 Tilman St. Memphis, TN 38122; 501c3 youth football program; Member of BOD; Start date: 5/1/2013; Approximately 4 hours per month, 2 hours per month during trading hours; Member on Board of Directors 6.) MS Howells & Co; Investment-Related; 23350 N Pima Rd, Scottsdale, AZ 85255; Broker Dealer; Independent Contractor; Start date: 6/24/2024; Approximately 160 hours per month; 160 hours per month during trading hours; Trading and Insurance for clients
CRS (Client Relationship Summary) - RIA
Click below to view James Walker Hays IV'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®
NoneExperience
Current
June 14, 2024 - Present
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
Office #1: 5350 Poplar Avenue Suite 600, Memphis, TN 38119RIA
CRD#: 174809
Memphis, TN
Current
June 18, 2024 - Present
M. S. HOWELLS & CO.
Office #1: 5350 Poplar Ave Suite 600, Memphis, TN 38119BD
CRD#: 104100
Memphis, TN
Past
August 26, 2022 - June 20, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Memphis, TN
Past
March 30, 2004 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Memphis, TN
Past
April 2, 1997 - June 20, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Memphis, TN
Past
October 23, 1992 - April 3, 1997
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DW
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
CRD#: 174809 / SEC#: 801-81015
RIA
Registered Investment Advisory firm - (3/9/2015 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/18/2024)
RR
Arkansas(6/18/2024)
RR
Georgia(6/18/2024)
RR
Louisiana(6/18/2024)
RR
Mississippi(6/18/2024)
RR
South Carolina(6/18/2024)
IAR
Tennessee(6/14/2024)
RR
Tennessee(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
CRD#: 174809 / SEC#: 801-81015
RIA
Registered Investment Advisory firm - (3/9/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5350 Poplar Avenue Suite 600, Memphis, TN 38119
Mailing Address
Phone number
(901) 435-4250
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,962 |
| AUM (Assets Under Management) | $ 2,163,085,456 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC
CRD#: 174809Memphis, TN 38119TRUST BUT VERIFY
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