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JJ

Jeffrey P. James

ERNST & YOUNG INVESTMENT ADVISERS LLP
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 2451091
JJ

Professional summary

Jeffrey Paul James, who also goes by Jeff James, is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in Tampa, Florida.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Jeffrey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jeff James

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Paul James'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

July 21, 2016 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: One Tampa City Center 201 North Franklin Street, Ste 2400, Tampa, FL 33602
RIA
CRD#: 110921
Tampa, FL
Past

October 31, 2011 - August 24, 2015

JHS CAPITAL ADVISORS, LLC

RIA
CRD#: 112097
TAMPA, FL
Past

October 21, 2011 - September 16, 2015

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

October 9, 2009 - August 11, 2011

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
TAMPA, FL
Past

October 9, 2009 - August 11, 2011

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
TAMPA, FL
Past

October 6, 2008 - October 9, 2009

J. B. HANAUER & CO.

RIA
CRD#: 6958
TAMPA, FL
Past

September 23, 2008 - October 9, 2009

J. B. HANAUER & CO.

BD
CRD#: 6958
TAMPA, FL
Past

January 23, 2008 - March 17, 2008

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
TAMPA, FL
Past

April 17, 2007 - October 12, 2007

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST PETERSBURG, FL
Past

July 8, 2005 - October 5, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

December 21, 1995 - October 12, 2007

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

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".
E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 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.

Highlighted states indicate IAR registrations

IAR
Florida
(7/21/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/6/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/12/2004
General Securities Sales Supervisor - Options Module Examination

Current Firm

E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)
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Contact information

Main Address
200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094
Mailing Address
Phone number
(800) 273-0588
Established
Firm type
Fiscal year end
# of Employees
140

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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.

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

CRD#: 110921Tampa, FL 33602

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