James C. Brownfield

CENTRAL STATES CAPITAL MARKETS

Prairie Village, KS 66208

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CRD#: 2492739

Professional summary

James Curtis Brownfield, who also goes by James Brownfield, is a registered financial advisor currently at CENTRAL STATES CAPITAL MARKETS, LLC located in Prairie Village, Kansas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Brownfield

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 James Curtis Brownfield's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Curtis Brownfield'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

May 5, 2016 - Present

CENTRAL STATES CAPITAL MARKETS, LLC

Office #1: 4200 W 83rd Street, Ste 101, Prairie Village, KS 66208

RIA

CRD#: 155291

Prairie Village, KS

Current

October 18, 2011 - Present

CENTRAL STATES CAPITAL MARKETS, LLC

Office #1: 4200 W 83rd Street, Ste 101, Prairie Village, KS 66208

RIA

CRD#: 155291

Prairie Village, KS

Past

September 1, 2011 - September 11, 2015

CENTRAL STATES CAPITAL MARKETS, LLC

RIA

CRD#: 155291

Blue Springs, MO

Past

January 3, 2008 - December 21, 2011

COMMERCE WEALTH ADVISERS, LLC

RIA

CRD#: 144449

KANSAS CITY, MO

Past

January 2, 2008 - November 18, 2011

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

KANSAS CITY, MO

Past

May 16, 2007 - January 2, 2008

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

OVERLAND PARK, KS

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

Kansas
(11/29/2011)

IAR

Kansas
(5/5/2016)

Missouri
(12/9/2013)

IAR

Missouri
(3/27/2017)

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 66

Date: 5/31/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/4/2011

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTRAL STATES CAPITAL MARKETS, LLC

CRD#: 155291 / SEC#: 801-79295, 8-68711

RIA

Registered Investment Advisory firm - SEC (1/3/2017 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/23/2018 Approved)

Kansas

Registered Investment Advisory firm - SEC (10/12/2016 Approved)

Missouri

Registered Investment Advisory firm - SEC (12/29/2016 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City 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

4200 W 83rd Street Suite 101, Prairie Village, KS 66208

Mailing Address

4200 W 83rd Street Suite 101, Prairie Village, KS 66208

Phone number

(913) 766-6565

Established

Kansas since 08/31/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (27 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLASSEN, MARK K	MEMBER	6886821
CENTRAL STATES FINANCIAL SERVICES, LLC	HOLDING COMPANY; MEMBER
YOUNG, ROBERT MORRIS JR	CHAIRMAN & CCO	501297
ADDISON, LAURIE ANNE	CHIEF FINANCIAL OFFICER & FINOP	7488882
HORTON, MICHAEL ALAN	DIRECTOR, BRANCH MANAGER	1041106
STEPP, JOHN DANIEL	MANAGING DIRECTOR, CEO; ELECTED MANAGER	501417

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 27,936,117

Disclosures

Regulatory Event	6
Criminal	3

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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James C. Brownfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Curtis Brownfield's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Curtis Brownfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTRAL STATES CAPITAL MARKETS, LLC

CENTRAL STATES CAPITAL MARKETS, LLC

COMMERCE WEALTH ADVISERS, LLC

DEWAAY FINANCIAL NETWORK, LLC

M&I FINANCIAL ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2007

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2007

Series 53

Date: 11/4/2011

FINRA

Current Firm

CENTRAL STATES CAPITAL MARKETS, LLC

Contact information

FINRA licenses (27 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTRAL STATES CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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