James A. Ellis

J K R & COMPANY

Van Nuys, CA 91406

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CRD#: 2395774

Professional summary

James Andrew Ellis, who also goes by Jamie Ellis, is a registered financial advisor currently at J K R & COMPANY, INC. located in Van Nuys, California.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jamie Ellis

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.

RETIREMENT PLANNING ASSOC. IS A SOLE PROPRIETORSHIP THAT SELLS TERM INSURANCE AND PERFORM PRESENTATIONS. THE BUSINESS IS NOT INVESTMENT RELATED AND IS PERFORMED FROM LA QUINTA, CA. THE BUSINESS STARTED IN 1999 AND I SPEND A COUPLE HOURS PER WEEK IN THE BUSINESS, NONE OF WHICH IS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Ellis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Andrew Ellis's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 3, 2000 - Present

J K R & COMPANY, INC.

Office #1: 7145 Woodley Avenue, Van Nuys, CA 91406

RIA

CRD#: 8040

Van Nuys, CA

Current

August 2, 1999 - Present

J K R & COMPANY, INC.

Office #1: 7145 Woodley Avenue, Van Nuys, CA 91406

RIA

CRD#: 8040

Van Nuys, CA

Past

September 17, 1993 - August 30, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 17, 1993 - August 30, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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.

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

Arkansas
(12/6/2021)

California
(8/2/1999)

IAR

California
(3/3/2000)

Florida
(5/11/2007)

Missouri
(11/21/2019)

Nevada
(3/20/2019)

New York
(8/2/1999)

Oklahoma
(11/19/2019)

Texas
(11/20/2019)

Washington
(6/9/2025)

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

State Security Law Exam

IAR

Series 65

Date: 10/12/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/16/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/16/2020

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/7/2017

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/11/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J K R & COMPANY, INC.

J K R & COMPANY, INC. | JENKS, KENNIFER, RICHARDSON & COMPANY, INC. | JENKS, KENNIFER & RICHARDSON, INCORPORATED

CRD#: 8040 / SEC#: , 8-24191

California

Registered Investment Advisory firm - SEC (12/7/2001 Approved)

New York

Registered Investment Advisory firm - SEC (8/26/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

7145 Woodley Ave, Van Nuys, CA 91406

Mailing Address

7145 Woodley Ave, Van Nuys, CA 91406

Phone number

(818) 781-7721

Established

California since 07/30/1979

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ELLIS, JAMES ANDREW	PRESIDENT / FINOP / CCO	2395774
RICHARDSON, JAMES KEMP	VICE PRESIDENT	375759

Regulatory assets under management

Total Number of Accounts	213
AUM (Assets Under Management)	$ 113,298,848

Disclosures

Regulatory Event	1
Arbitration	1

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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Advisor Monitoring

Firm Stability Insights

James A. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Ellis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Andrew Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

J K R & COMPANY, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2020

Series 63

Date: 9/16/1993

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/8/1996

Series 6

Date: 9/16/1993

Series 27

Date: 6/16/2020

Series 53

Date: 10/7/2017

Series 4

Date: 5/11/2000

Series 24

Date: 2/13/1997

FINRA

Current Firm

J K R & COMPANY, INC.

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

J K R & COMPANY, INC.

TRUST BUT VERIFY

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