William E. James
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.
William Edison James, CFP®, who also goes by Bill James, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1971. William had worked at 3 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2008 - December 1, 2023
CAPITAL ADVISORY GROUP
October 24, 2005 - July 24, 2008
CINCINNATI ANALYSTS, INC.
December 22, 1993 - July 24, 2008
CINCINNATI ANALYSTS, INC.
December 22, 1992 - December 22, 1993
MUTUAL SERVICE CORPORATION
June 1, 1971 - December 4, 1992
CINCINNATI ANALYSTS, INC.
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
Series 1
Date: 5/24/1971
Registered Representative ExaminationSeries 40
Date: 4/27/1978
Registered Principal ExaminationCurrent Firm
CAPITAL ADVISORY GROUP
CRD#: 147192 / SEC#: 801-69161
Contact information
Regulatory assets under management
| Total Number of Accounts | 150 |
| AUM (Assets Under Management) | $ 42,091,139 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
